David Baum
David Baum is a registered investment advisor at Lifemark Securities CORP., based in South Hempstead, NY, with 24 years of industry experience. David is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 1,053 clients with $420M 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 | 2.00% |
Representative fees generally range from 0.35% to 0.5% based on asset level, up to a maximum of 2.0%. Total client fees may exceed 2.0% depending on program selection and third-party manager fees. Fees are negotiable.
Fee Estimator
Location
South Hempstead, NY
Get directionsHistory
Regulatory History (2)
Customer Dispute
July 2023Customer Dispute
April 2017Other Business ActivitiesSells Insurance
David was involved in the sale of fixed insurance products, meeting with clients and providing financial and risk analysis. He spent minimal time on this activity in May 2024, and it is not ongoing.
Employment History
Current Registrations
Lifemark Securities CORP.
Lifemark Securities CORP.
Lifemark Securities CORP.Broker
Previous Registrations
Prudential Financial Planning Services
Pruco Securities, LLC.Broker
Msi Financial Services, INC.Broker
Primary Capital, LLCBroker
Assent LLCBroker
Andover Brokerage, L.L.C.Broker
Ndb Capital Markets, LPBroker
Global Capital Securities CorporationBroker
State Registrations1 state
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.