Morgan Matthew Baum

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2003 → Present
  Lpl Financial, Llc
  Las Vegas, NV

Previous Registrations

• 2003-05-12 → 2003-07-01
  Wells Fargo Clearing Services, Llc
  Century City, CA

Other Businesses

1. 08/07/2014: MORGAN BAUM WEALTH MANAGEMENT - INV REL - 6076 FRAGRANS WAY, WOODLAND HILLS, CA 91367 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS): MORGAN BAUM WEALTH MANAGEMENT - START 09/01/2014 - 40 HR/MO ALL DURING SECS TRDG HRS 2. 04/14/2022 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Start Date - 03/01/2022 - 1 Hours Per Month/ 0 Hours During. 3. 10/07/2022 - Dixon Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Financial Advisor and Team Member - Start Date - 05/04/2016 - 40 Hours Per Month/40 Hours During Securities Trading

Exams

• S66 Uniform Combined State Law Examination
  2015-10-07
• S63 Uniform Securities Agent State Law Examination
  1994-08-08

Other Names

• Morgan Matthew Baum