Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Eugene Baumgart has been in the securities industry since March 20, 1998. William is currently registered with BNP Paribas Securities Corp. in the state of New York. William has previously been registered with Macquarie Capital (USA) Inc., Citadel Securities LLC, PGP Capital Advisors, LLC, UBS Securities LLC, Credit Suisse First Boston Corporation, and Donaldson, Lufkin & Jenrette Securities Corporation. William has passed the Series 63, Series 24, SIE, Series 79, and Series 7 exams.
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.
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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2
NY
10/18/2017 - Present
BNP Paribas Securities Corp. (NEW YORK NY)
NY
08/18/2011 - 08/04/2016
MACQUARIE CAPITAL (USA) INC. (NEW YORK NY)
NY
07/21/2010 - 08/01/2011
CITADEL SECURITIES LLC (NEW YORK NY)
CA
06/11/2010 - 06/30/2010
PGP CAPITAL ADVISORS, LLC (LOS ANGELES CA)
NY
05/09/2001 - 06/12/2008
UBS SECURITIES LLC (NEW YORK NY)
NY
12/18/2000 - 03/05/2001
CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)
NJ
10/01/1994 - 12/18/2000
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
BC
Issued 10/02/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/30/2010
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/06/2010
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 09/09/1994
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
M
Miami International Securities Exchange, 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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