Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Mark Baumann is a financial advisor with LPL Financial LLC. Roger has been in the financial industry since 2001. Roger has a Series 6 and Series 63 license, and he is also licensed in Arizona, Florida, Illinois, Indiana, Maine, New Jersey, New York, North Carolina, Pennsylvania, Rhode Island, South Carolina, Texas, and Virginia. Roger has experience working with a variety of clients, including high-net-worth individuals, charitable organizations, pension and profit-sharing plans, corporations or other businesses, and individuals other than high-net-worth. Roger is committed to providing his clients with personalized financial advice and guidance.
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.
1
2
PA
11/30/2012 - Present
LPL Financial LLC (READING PA)
PA
01/01/2004 - 12/03/2012
ING FINANCIAL PARTNERS, INC. (READING PA)
IA
04/30/2003 - 01/01/2004
LOCUST STREET SECURITIES, INC. (DES MOINES IA)
VT
01/24/2001 - 04/29/2003
EQUITY SERVICES, INC. (MONTPELIER VT)
BC
Issued 01/30/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/23/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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