Matthew Baum, financial advisor North Haven CT

Matthew Baum

CRD Number: 6942874
Current Firm: Ameriprise Financial Services, LLC

Matthew Baum (CRD# 6942874) is an Investment Advisor Representative working at Ameriprise Financial Services, LLC in North Haven, CT and has over 4 years of experience in the finance industry. Matthew Baum has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Ameriprise Financial Services, LLC Cheshire, CT Aug 2022 - Current 1
Ameriprise Financial Services Cheshire, CT Aug 2022 - Aug 2022 < 1
Edward Jones St Louis, MO Jul 2019 - Aug 2022 3
Ameriprise Financial Services, LLC Cheshire, CT Mar 2020 - Mar 2020 < 1
Sage Dining Services Wallingford, CT Oct 2017 - Jul 2019 1
Wallingford Public Schools Wallingford, CT Nov 2018 - Jun 2019 < 1
Edward Jones Saint Louis, MO Jun 2018 - Aug 2018 < 1
Mutual Security Credit Union Shelton, CT May 2016 - May 2018 2
Jroos Restaurant North Haven, CT May 2017 - Aug 2017 < 1
Masonicare Wallingford, CT Dec 2013 - Jun 2017 3
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Sep 2019
Disclosure Information

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, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Matthew C. Baum
Phone Number: 612-671-3131
Registered State(s):
  • CT
By the Numbers
  • Total Assets Under Management
    479,794
    MILLIONS
  • Total Number of Accounts
    2,284,921
    ACCOUNTS
  • Average Account Value
    $209,983
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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