Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Morgan? Claim Your ProfileMorgan Baum has been working in the financial industry since 1994. Morgan is currently registered with LPL Financial LLC in Las Vegas, NV and is also registered as an investment advisor representative in Texas. Prior to joining LPL Financial, Morgan worked for Wachovia Securities, LLC, Prudential Securities Incorporated, Merrill Lynch, Pierce, Fenner & Smith Incorporated, BA Investment Services, Inc., and Smith Barney Inc. Morgan has passed multiple securities exams and is licensed in multiple states.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Consulting and other non-discretionary advisory services
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.
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2
NV
07/07/2021 - Present
LPL Financial LLC (LAS VEGAS NV)
MO
08/08/2000 - 07/01/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
02/08/1999 - 08/10/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/02/1997 - 02/16/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CA
06/20/1994 - 07/02/1997
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
NY
01/18/1994 - 06/06/1994
SMITH BARNEY INC. (NEW YORK NY)
BOTH
Issued 10/07/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/08/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/19/2007
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 01/17/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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