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LUKE FLAGG BAUM
Luke F Baum, Luke Flagg Baum
CRD#: 2045397
IA
B
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 SHAKER HEIGHTS, OH
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 SHAKER HEIGHTS, OH
View By:
9/16/1999
Customer Dispute
Settled
State Registrations
B
Alabama 3/18/2022
B
Nevada 4/1/2022
B
Alaska 3/21/2022
B
New Hampshire 5/23/2022
B
Arizona 3/25/2022
B
New Jersey 3/21/2022
B
Arkansas 3/21/2022
B
New Mexico 3/18/2022
B
California 3/18/2022
B
New York 3/19/2022
B
Colorado 3/22/2022
B
North Carolina 3/18/2022
B
Connecticut 3/18/2022
B
North Dakota 3/21/2022
B
Delaware 5/3/2022
B
Ohio 3/18/2022
B
District of Columbia 3/28/2022
IA
Ohio 3/25/2022
B
Florida 4/26/2022
B
Oklahoma 3/21/2022
B
Georgia 3/18/2022
B
Oregon 3/21/2022
B
Hawaii 3/18/2022
B
Pennsylvania 3/18/2022
B
Idaho 3/18/2022
B
Puerto Rico 4/1/2022
B
Illinois 3/23/2022
B
Rhode Island 4/14/2022
B
Indiana 3/23/2022
B
South Carolina 3/22/2022
B
Iowa 3/21/2022
B
South Dakota 4/12/2022
B
Kansas 3/18/2022
B
Tennessee 3/18/2022
B
Kentucky 3/23/2022
B
Texas 3/18/2022
B
Louisiana 3/21/2022
IA
Texas 12/15/2022
B
Maine 3/18/2022
B
Utah 3/18/2022
B
Maryland 3/18/2022
B
Vermont 3/18/2022
B
Massachusetts 3/23/2022
B
Virgin Islands 3/21/2022
B
Michigan 3/21/2022
B
Virginia 3/17/2022
B
Minnesota 3/18/2022
B
Washington 3/21/2022
B
Mississippi 3/22/2022
B
West Virginia 3/30/2022
B
Missouri 3/18/2022
B
Wisconsin 3/18/2022
B
Montana 3/18/2022
B
Wyoming 3/28/2022
B
Nebraska 3/22/2022
SRO Registrations
B
B
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IA
Registered with this firm since 3/25/2022
B
Registered with this firm since 3/17/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/19/2022 - 02/07/2022 | Shaker Heights, OH | |
B | 01/19/2022 - 02/07/2022 | SAN DIEGO, CA | |
IA | 11/14/2019 - 03/17/2020 | Shaker Heights, OH | |
B | 11/08/2019 - 03/17/2020 | Shaker Heights, OH | |
IA | 08/23/2005 - 12/07/2017 | CLEVELAND, OH | |
B | 08/19/2005 - 12/07/2017 | CLEVELAND, OH | |
IA | 06/03/2010 - 06/15/2011 | CLEVELAND, OH | |
IA | 08/04/2004 - 08/19/2005 | CHICAGO, IL | |
B | 07/30/2004 - 08/19/2005 | PLEASANT HILL, CA | |
B | 01/23/2004 - 07/21/2004 | EL SEGUNDO, CA | |
B | 01/01/2004 - 02/10/2004 | GREENWOOD VILLAGE, CO | |
B | 01/03/1992 - 01/01/2004 | HUDSON, OH | |
IA | 05/10/2002 - 12/31/2003 | DENVER, CO | |
B | 04/24/1990 - 01/07/1992 | BOSTON, MA |
CLEVELAND, OH
06/03/2010 - 06/15/2011
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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