Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Ray Baumann is a financial advisor who has been in the industry since 2012. Joseph currently works for AEL Financial Services, LLC. Prior to joining AEL Financial Services, LLC, Joseph was a financial advisor with Principal Securities, Inc. Joseph is registered with the state of Iowa. Joseph holds the Series 6, Series 7, and Series 63 securities licenses, as well as the SIE exam.
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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IA
12/19/2023 - Present
AEL Financial Services, LLC (West Des Moines IA)
IA
08/22/2011 - 11/22/2022
PRINCIPAL SECURITIES, INC. (DES MOINES IA)
BC
Issued 10/05/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/02/2013
Series 7 - General Securities Representative Examination
BC
Issued 08/19/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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