Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patrick? Claim Your ProfilePatrick Baumann is an active financial advisor with Wells Fargo Clearing Services, LLC. Patrick has been in the financial industry since February 16, 2008. Patrick has 11 approved SRO registrations and 3 approved state registrations. Patrick has passed the Series 63, Series 66, Series 7TO and SIE exams. Patrick also has previous experience with FIRST CLEARING, LLC, WELLS FARGO ADVISORS, LLC, RAYMOND JAMES FINANCIAL SERVICES, INC., and AIG FINANCIAL ADVISORS, INC.
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.
Investment consulting services to institutional clients
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.
1
2
NY
08/08/2024 - Present
Wells Fargo Clearing Services, LLC (NEW YORK NY)
MO
06/27/2013 - 04/14/2015
FIRST CLEARING, LLC (ST. LOUIS MO)
MO
03/03/2009 - 06/28/2013
WELLS FARGO ADVISORS, LLC (ST. LOUIS MO)
OH
01/17/2008 - 02/01/2008
RAYMOND JAMES FINANCIAL SERVICES, INC. (CAMBRIDGE OH)
PA
01/18/2007 - 01/22/2008
AIG FINANCIAL ADVISORS, INC. (PITTSBURGH PA)
BOTH
Issued 08/08/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/01/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/08/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/17/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, 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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