Matthew BaumgartnerCRD Number: 5986319
Current Firm: Strategic Advisers, Inc.
Matthew Baumgartner (CRD# 5986319) is an Investment Advisor Representative working at Strategic Advisers, Inc. in Salt Lake City, UT and has over 5 years of experience in the finance industry.
Uma Financial Services Inc.
Brighton Wealth Management, Inc.
|Fidelity Investments||Salt Lake City, UT||Apr 2012 - Current||5|
|E*trade Securities LLC||Sandy, UT||Oct 2011 - Apr 2012||< 1|
|Unemployed||Farmington, UT||Feb 2011 - Oct 2011||< 1|
|England Logistics||Salt Lake City, UT||Feb 2010 - Feb 2011||1|
|Mountain America Credit Union||Salt Lake City, UT||Jan 2007 - Jan 2010||3|
|Beehive Federal Credit Union||Rexburg, ID||Jan 2006 - Jan 2007||1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 2011|
|S66||NASAA Uniform Combined State Law Examination||May 2012|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
Total Assets Under Management236,390MILLIONS
Total Number of Accounts619,100ACCOUNTS
Average Account Value$381,828
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
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, VT, WA, WI, WV