Ellis P Baum

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

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

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

Current Employers

Employment History

• 03/2022 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 03/2000 → 02/2022
  Residential Resources Inc
  Westbrook, ME
• 03/2022 → 01/2023
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 01/2023 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 01/2023, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO 120 HR/MO TRADING 2) TIGER INVESTMENT SERVICES LLC, 91 LINCOLN RD SACO ME, 01/2023, IAR, DBA, INV REL, 160 HR/MO 160 HR/MO TRADING 3) ELLIS BAUM, 28 Water St., Biddeford ME 04005, 01/2025, BOARD MEMBER, VOLUNTEER, NIR, 5 HR/MO - 1 HR/MO TRADING 4) ELLIS P BAUM, 91 Lincoln Rd, Saco ME 04072, 07/2025, Consultant, Consulting/Coaching, NIR, 1 HR/MO, 0 HR/MO TRADING. 5) ELLIS P. BAUM, 28 Water St., Biddeford ME 04005, 02/2026, Vice President, Volunteer, NIR, 5 HR/MO, 1 HR/MO TRADING

Exams

• S65 Uniform Investment Adviser Law Examination
  2023-01-11
• S63 Uniform Securities Agent State Law Examination
  2022-11-28