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Richard Baum

Wells Fargo Advisors
54 Years of Experience
Waltham, MA
1 DisclosureBroker
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Richard Baum is a registered investment advisor at Wells Fargo Advisors, based in Waltham, MA, with 54 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,324,168 clients with $670B in assets under management.

Wells Fargo Advisors
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
14674 advisors
IM Fee
Planning only
Assets Under Management
$671.4B

Fee Structure

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

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Location

130 Turner St Ste 800, Waltham, MA, 02453

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
June 1991
Final
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Wells Fargo Advisors
September 2026 - Present · 1 mo
Wells Fargo Clearing Services, LLCBroker
September 2026 - Present · 1 mo
Previous Registrations
Ameriprise Financial Services, LLCBroker
July 2021 - September 2026 · 5 yrs 2 mos
Ameriprise Financial Services, LLC
July 2021 - September 2026 · 5 yrs 2 mos
Janney Montgomery Scott LLC
August 2016 - July 2021 · 4 yrs 11 mos
Janney Montgomery Scott LLCBroker
September 2014 - July 2021 · 6 yrs 10 mos
Oppenheimer & CO. INC.Broker
December 2005 - September 2014 · 8 yrs 9 mos
Advest, INC.Broker
September 1994 - December 2005 · 11 yrs 3 mos
Lehman Brothers Kuhn Loeb IncorporatedBroker
September 1980 - June 1984 · 3 yrs 9 mos
Lehman Brothers INC.Broker
August 1980 - September 1994 · 14 yrs 1 mo
Dean Witter Reynolds INC.Broker
February 1978 - September 1980 · 2 yrs 7 mos
Reynolds Securities, INC.Broker
June 1972 - February 1978 · 5 yrs 8 mos
State Registrations34 states
ALARAZCACOCTDCDEFLGAILINKYLAMAMDMEMIMNMTNCNHNJNMNVNYOHRISCTXUTVAWAWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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