Ari Baum
Ari Baum is a registered investment advisor at Prospera Financial Services, INC., based in New York, NY, with 25 years of industry experience. Ari is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Investment Management, and 2 more. Their firm serves 19,103 clients with $12B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.15% |
Maximum annual fee across investment management programs is 2.15% of assets under management. Fees are negotiable based on account size, complexity, and services provided.
Fee Estimator
Location
1185 Ave of the Americas, 3rd Floor, New York, NY, 10036
Get directionsHistory
Regulatory History (1)
Employment Separation After Allegations
September 2014Other Business ActivitiesSells Insurance
Ari is involved in several outside activities, including serving on the finance committee for Magen David Yeshiva, as a board member and treasurer for the Council of Jewish Organizations of Flatbush, a consultant for Alphasights Consulting, a JustWorks agent receiving referral fees for 401k group employee benefits, renting a timeshare, a track and field coach for Yeshiva of Flatbush High School, and a board member of Congregation Shaare Shalom. These activities take up minimal time, ranging from a few hours per week to about 10-20% of his time.
Employment History
Current Registrations
Prospera Financial Services, INC.
Prospera Financial Services, INC.Broker
Previous Registrations
Prospera Financial Services, INC.
Morgan StanleyBroker
UBS Financial Services INC.Broker
Chase Investment Services CORP.Broker
U.S. Trading CORP.Broker
State Registrations32 states
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
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