David Alan Baum

Current Employers

Lifemark Securities Corp.

400 West Metro Park, Rochester, NY 14623 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2023-01-04

NY RA
APPROVED

Since 2023-01-04

Branch Locations

South Hempstead, NY • United States

One Blue Hill Plaza #1509-75, Pearl River, NY 10965 • 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 Yes
Termination No

Employment History

Organization	City	State	From	To
Massachusetts Mutual Life Insurance Company	Springfield	MA	07/2016	01/2017
Pruco Securities, Llc.	Melville	NY	01/2017	12/2022
Prudential Insurance Company Of America	Melville	NY	01/2017	12/2022
Lifemark Securities Corp.	Rochester	NY	01/2023	Present
Independent Insurance Agent	South Hempstead	NY	05/2024	05/2024

07/2016 → 01/2017

Massachusetts Mutual Life Insurance Company

Springfield, MA
01/2017 → 12/2022

Pruco Securities, Llc.

Melville, NY
01/2017 → 12/2022

Prudential Insurance Company Of America

Melville, NY
01/2023 → Present

Lifemark Securities Corp.

Rochester, NY
05/2024 → 05/2024

Independent Insurance Agent

South Hempstead, NY

Previous Registrations

2021-06-07 → 2023-01-10

Pruco Securities, Llc.

Melville, NY

Uniondale, NY

Melville, NY

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2011-06-21

S63 Uniform Securities Agent State Law Examination

2011-06-21

Other Names

David Alan Baum
David A Baum

View on SEC IAPD