Luke F Baum

CRD 2045397 · Fidelity Brokerage Services LLC · Covington, KY

IA RegisteredBroker

Also appears in the source record as: Luke Flagg Baum

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (13): Series 65Series 63Series 10Series 9Series 53Series 24Series 4Series 7TOSeries 99TOSeries 52TOSeries 79TOSIESeries 7
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 36
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2045397 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Fidelity Brokerage Services LLC
Firm CRD: 7784
SEC number: Not yet retrieved from the source record
Assets under management: Not yet retrieved from the source record
Website: Not yet retrieved from the source record
Phone: Not yet retrieved from the source record
Firm location: Not yet retrieved from the source record

Employment history (18)

From the source registration record · current first

Strategic Advisers LLCCurrent
Shaker Heights, OH · IA capacity

Mar 31, 2025 → present
Fidelity Brokerage Services LLCCurrent
Shaker Heights, OH · BD capacity

Mar 17, 2022 → present
Fidelity Brokerage Services LLCCurrent
Covington, KY · BC capacity

start not retrieved → present
Fidelity Personal And Workplace Advisors
IA capacity

Mar 25, 2022 → Mar 31, 2025
Kingswood Capital Partners, LLC
BD capacity

Jan 19, 2022 → Feb 7, 2022
Kingswood Wealth Advisors, LLC
IA capacity

Jan 19, 2022 → Feb 7, 2022
Cl Wealth Management LLC
IA capacity

Nov 14, 2019 → Mar 17, 2020
Cabot Lodge Securities LLC
BD capacity

Nov 8, 2019 → Mar 17, 2020
Cbiz Retirement Plan Advisory Services
IA capacity

Aug 23, 2005 → Dec 7, 2017
Cbiz Financial Solutions, Inc.
BD capacity

Aug 19, 2005 → Dec 7, 2017
Cbiz Wealth Management, LLC
IA capacity

Jun 3, 2010 → Jun 15, 2011
Assetmark Investment Services
IA capacity

Aug 4, 2004 → Aug 19, 2005
Assetmark Capital Corporation
BD capacity

Jul 30, 2004 → Aug 19, 2005
Walnut Street Securities, Inc.
BD capacity

Jan 23, 2004 → Jul 21, 2004
Multi-Financial Securities Corporation
BD capacity

Jan 1, 2004 → Feb 10, 2004
Vestax Securities Corporation
BD capacity

Jan 3, 1992 → Jan 1, 2004
Vestax Securities Corporation
IA capacity

May 10, 2002 → Dec 31, 2003
Mutual Service Corporation
BD capacity

Apr 24, 1990 → Jan 7, 1992

Source & corrections

Where this page comes from

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