Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dennis? Claim Your ProfileDennis Baum is a financial advisor who has been in the industry since 1967. Dennis is currently registered with Oppenheimer & Co. Inc. and has been with the firm since 2012. Dennis provides a variety of financial services to individuals, businesses, and institutions, including financial planning, portfolio management, and investment advisory services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
05/17/2017 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NY
08/08/1995 - 10/19/2012
FIRST MANHATTAN CO (NEW YORK NY)
NY
08/08/1967 - 08/08/1995
BEAR, STEARNS & CO. INC. (NEW YORK NY)
IA
Issued 04/28/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/10/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/05/1988
Series 24 - General Securities Principal Examination
BC
Issued 09/04/1987
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/30/1977
PC - AMEX Put and Call Exam
BC
Issued 08/07/1967
Series 1 - Registered Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Dennis Baum is the right advisor for you? Invested Better is here to help.
