Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Peter Baum is a registered representative with Fmsbonds, Inc. William has been in the securities industry since 2009. William holds FINRA Series 7 and 63 licenses. William was previously registered with Loop Capital Markets LLC, Sterne, Agee & Leach, Inc., O'Brien & Shepard, Inc., and Chapdelaine & Co. William is currently licensed in Colorado, Florida, New Jersey, New York, Texas, and Washington.
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
FL
06/07/2016 - Present
Fmsbonds, Inc. (NORTH MIAMI BEACH FL)
NY
02/14/2011 - 07/06/2015
LOOP CAPITAL MARKETS LLC (NEW YORK NY)
NY
10/01/2009 - 01/27/2011
STERNE, AGEE & LEACH, INC. (NEW YORK NY)
NJ
03/10/2008 - 09/23/2009
O'BRIEN & SHEPARD, INC. (JERSEY CITY NJ)
NY
07/17/2007 - 08/06/2007
CHAPDELAINE & CO. (NEW YORK NY)
BC
Issued 10/19/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/16/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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