Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patricia? Claim Your ProfilePatricia Baum is a financial advisor with RBC Capital Markets, LLC. Patricia has been in the financial services industry since 1986. Patricia has held several roles at other firms, including Tucker Anthony Incorporated, BT Alex. Brown Incorporated, and Alex. Brown & Sons Incorporated. Patricia has a wide range of experience and licenses, including the Series 63, Series 65, Series 7, Series 8, Series 9, Series 10, and Series 31. Patricia is registered to provide investment advice in 40 states and is a registered representative of RBC Capital Markets, LLC. Patricia provides a range of services to individual and institutional clients, including financial planning, portfolio management, and pension consulting.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
MD
02/19/2010 - Present
RBC Capital Markets, LLC (ANNAPOLIS MD)
MA
05/21/1999 - 03/09/2002
TUCKER ANTHONY INCORPORATED (BOSTON MA)
MD
09/01/1997 - 05/26/1999
BT ALEX. BROWN INCORPORATED (BALTIMORE MD)
NA
01/22/1986 - 09/01/1997
ALEX. BROWN & SONS INCORPORATED
IA
Issued 07/08/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/31/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/21/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/14/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 01/18/1986
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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