Dennis BaumCRD Number: 15030
Current Firm: Oppenheimer & Company Inc.
Dennis Baum (CRD# 15030) is an Investment Advisor Representative working at Oppenheimer & Company Inc. in New York, NY and has over 43 years of experience in the finance industry.
Financial Life Focus, LLC
Merrill Lynch, Pierce, Fenner & Smith Incorporated
|Oppenheimer & Co In||New York, NY||Oct 2012 - Current||10|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 1979|
|S65||NASAA Investment Advisors Law Examination||Apr 2016|
Total Assets Under Management27,024MILLIONS
Total Number of Accounts30,576ACCOUNTS
Average Account Value$883,838
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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