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Current Employers
Prospera Financial Services, Inc.

5429 Lbj Freeway Suite 750, Dallas, TX 75240 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-02-25
NY RA APPROVED 2021-02-14
  • TX RA
    APPROVED_RES
    Since 2026-02-25
  • NY RA
    APPROVED
    Since 2021-02-14

Branch Locations

5429 Lbj Freeway Suite 750, Dallas, TX 75240 • UNITED STATES

1185 Ave Of The Americas 3Rd Floor, New York, NY 10036 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Prospera Financial Services Dallas TX 10/2014 Present
  • 10/2014 → Present
    Prospera Financial Services
    Dallas, TX
Other Businesses

MAGEN DAVID YESHIVA; BROOKLYN, NY; NON-PROFIT; Finance COMMITTEE; PRIVATE SCHOOL; ONE HOUR PER WEEK OUTSIDE NORMAL OFFICE HOURS COUNCIL OF JEWISH ORGANIZATIONS OF FLATBUSH, BOARD MEMBER AND TRASURER, NO ACTIVITY DURING NORMAL BUSINESS HOURS, NO COMPENSATION Ari Baum is a consultant for Alphasights Consulting, this business is investment related. spending 1-9% of his weekly time non during trading hours, Mr. Baum provides insight on Financial Planning and industry trends. the compensation represents 1-9% of Mr.Baum's annual income. Ari Baum is a JustWorks agent an Insurance related. Receiving referral fee through 401k group employee benefits. Working 1-9% if his weekly time during market hours, compensation will flow through PFS. MR. BAUM IS RENTING A TIMESHARE LOCATED AT 4032 BEDFORD AVE BROOKLYN, NY 11229. THIS BUSINESS IS NOT INVESTMENT. SPENDING 1-9% OF HIS TIME CONDUCTING THIS BUSINESS. NO COMPENSATION AT THIS TIME. Mr. Baum is a Track and Field Coach for Yeshiva of Flatbush High School located at 1609 Ave J., Brooklyn, NY 11230. This business is not investment related. Spending 1-9% of his time none during market hours. Compensations is 1-9% of his annual income.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-10-10
S63 Uniform Securities Agent State Law Examination 2000-05-12
  • S66 Uniform Combined State Law Examination
    2004-10-10
  • S63 Uniform Securities Agent State Law Examination
    2000-05-12

View on SEC IAPD

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