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Ross Baumgarten

RBC Capital Markets, LLC

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About Ross Baumgarten

Ross Baumgarten is a financial advisor at RBC Capital Markets, LLC. Ross has over 30 years of experience in the financial industry, with previous roles at Robert W. Baird & Co. Incorporated, William Blair & Company L.L.C., and Piper Jaffray & Co. Ross is a registered investment advisor in Florida, Illinois, and Texas. Ross holds the Series 63, Series 66, and Series 7 licenses. Ross is a licensed and registered financial advisor in Arizona, California, Florida, Georgia, Illinois, Indiana, New Jersey, New York, Pennsylvania, Tennessee, and Texas.

Firm Information

Ross Baumgarten is currently registered with RBC Capital Markets, LLC. RBC Capital Markets, LLC is a Limited Liability Company formed in 2010 and headquartered in New York, NY. The firm is a Registered Investment Advisor with the SEC and in all 50 states, as well as Puerto Rico and the Virgin Islands. RBC Capital Markets, LLC offers a wide range of advisory services, including financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses and individuals, and portfolio management for pooled investment vehicles. The firm serves a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension and profit-sharing plans, and pooled investment vehicles. RBC Capital Markets, LLC manages more than $50 billion in assets.
RBC Capital Markets, LLC

200 VESEY ST.

NEW YORK, NY 10281

$259.96B

Assets Under Management

1,784

Total Clients

4,423

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds

Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Ross Baumgarten’s Registration & Firm History

FL

07/21/2016 - Present

RBC Capital Markets, LLC (NAPLES FL)

FL

08/22/2008 - 09/13/2012

ROBERT W. BAIRD & CO. INCORPORATED (NAPLES FL)

IL

03/02/2004 - 08/27/2008

WILLIAM BLAIR & COMPANY L.L.C. (CHICAGO IL)

MN

08/12/2002 - 03/19/2004

PIPER JAFFRAY & CO. (MINNEAPOLIS MN)

IL

03/22/1988 - 09/18/2002

WILLIAM BLAIR & COMPANY L.L.C. (CHICAGO IL)

NA

07/27/1984 - 04/04/1988

RODMAN & RENSHAW INC.

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Licenses & Designations

BOTH

Issued 12/17/2013

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/26/1984

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/03/1996

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/25/1984

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

Disclosures

There are 7 public disclosures for Ross Baumgarten. Review regulatory record here.
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