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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Allan Baum is an investment advisor representative at Ameriprise Financial Services, LLC. Richard has been working in the financial industry since 1972. Richard is registered with both the BrokerCheck and Investment Advisor Public Disclosure (IAPD) systems. Richard is registered to provide investment advice in 30 states. In addition to working for Ameriprise Financial Services, LLC, Richard has previously worked for JANNEY MONTGOMERY SCOTT LLC, OPPENHEIMER & CO. INC., ADVEST, INC., LEHMAN BROTHERS INC., LEHMAN BROTHERS KUHN LOEB INCORPORATED, DEAN WITTER REYNOLDS INC., and REYNOLDS SECURITIES, 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.
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.
Asset allocation 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.
A percentage of the total value of assets under management is charged.
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2
MA
07/06/2021 - Present
Ameriprise Financial Services, LLC (Newton MA)
MA
09/15/2014 - 07/21/2021
JANNEY MONTGOMERY SCOTT LLC (BOSTON MA)
MA
12/01/2005 - 09/15/2014
OPPENHEIMER & CO. INC. (BOSTON MA)
CT
09/09/1994 - 12/19/2005
ADVEST, INC. (HARTFORD CT)
NY
08/04/1980 - 09/20/1994
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
09/02/1980 - 06/26/1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
NA
02/24/1978 - 09/01/1980
DEAN WITTER REYNOLDS INC.
NA
06/28/1972 - 02/24/1978
REYNOLDS SECURITIES, INC.
IA
Issued 08/11/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/01/1990
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 09/08/1977
Series 4 - Registered Options Principal Examination
BC
Issued 09/27/1976
Series 40 - Registered Principal Examination
BC
Issued 01/01/1976
Series 12 - NYSE Branch Manager Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/11/1983
Series 15 - Foreign Currency Options Examination
BC
Issued 09/08/1977
PC - AMEX Put and Call Exam
BC
Issued 06/26/1972
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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