Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Robert Baumgartner is a financial professional with over 20 years of experience in the financial services industry. Currently, John is registered with Lake Street Capital Markets, LLC in Minnesota and Texas. John has a strong background in investment banking and securities trading. John has held previous roles at Stephens, Robert W. Baird & Co. Incorporated and Piper Jaffray & Co. John is a Series 7, Series 24, Series 63, Series 79, and SIE licensed professional.
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.
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.
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2
MN
07/09/2019 - Present
Lake Street Capital Markets, LLC (MINNEAPOLIS MN)
TX
10/25/2011 - 08/22/2017
STEPHENS (DALLAS TX)
WI
05/23/2007 - 08/18/2010
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
MN
03/29/2000 - 05/22/2007
PIPER JAFFRAY & CO. (MINNEAPOLIS MN)
BC
Issued 11/22/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/04/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 08/22/2017
SIE - Securities Industry Essentials Examination
BC
Issued 03/28/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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