Dennis Andrew Baum

Employer firm

Oppenheimer & Co. Inc. CRD 249

$36.7B regulatory AUM

Reported services (Item 5G)

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

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

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

Current Employers

Employment History

• 10/2012 → Present
  Oppenheimer & Co In
  New York, NY

Other Businesses

1. CO-TRUSTEE OF DENNIS BAUM FAMILY TRUST 2. BOARD MEMBER OF SELFHELP COMMUNITY SERVICES AND LEO BAECK INSTITUTE. 3. TRUSTEE FOR THE ARTHUR SIMSON TRUST, TONYA JOHNSTON TRUST, MINNA HEINE TRUST, FBO MINNA HEINE TRUST, HILDE MAYER TRUST. 4. Carola Simson Trust DTD 05/18/1953. Baum Dennis Rubin Zachary Co-Trustee. I have been trustee since approx. 1985 1 hour/month. Address 902 Rubin 20 Godfrey Cove Rd. York ME 03909. 5. Simon H Schever Great Grandchildren's Trust. C/O Tag Associates LLC. 810b 7th Ave. NY, NY 10019. 6. Herbert Sheldon Trust. FBO Peter Sheldon. Investment related trust. Address: MY PERSONAL RESIDENCE. 45mins/Month. 7. T/U/W EVE MAYER ART. THIRD TRUSTEE . INVESTMENT ORIENTATED TRUST. REQUIRES 1 HR PER MONTH. NEW ACCOUNT COMING OUT OF AN ESTATE. 8. TRUSTEE KEVIN S. BAUM 1997 TRUST, COMMENCING 2/17 9. TRUSTEE OF RONALD TERRANCE BAUM 2017 TRUST, STARTING 2/17 INVESTMENTS: ADDRESS C/O PAULA & HARCOURT, PETER KLAUSNER TRUSTEE, 230 PARK AVE, NY NY 10022. ONE HOUR/MO 10. FAMILY TRUST ESTABLISHED FOR MY SON KEVIN. IT WAS ESTABLISHED IN MARCH OF 2017. REQUIRES 1/2 HOUR MONTH INPUT. I ACT AS A CO-TRUSTEE WITH KEVIN. 11. STOCK & BOND INVESTMENTS FOR FAMILY. ADDRESS: MY PERSONAL RESIDENCE. CO-TRUSTEE 1/2 HOUR/MONTH 12. LEO BAECK INSTITUTE COMMITTEES ON: GERMANY DEVELOPMENT AND FINANCE. 1 HOUR/MO EACH COMMITTEE 15 WEST 16TH STREET, NY, NY 10011 13. RENTAL OF COTTAGE ON OUR PROPERTY - RESIDENTIAL ADDRESS

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-04-28
• S63 Uniform Securities Agent State Law Examination
  1979-07-10

Other Names

• Dennis A Baum