Neal James Baumann

Current Employers

Benjamin F. Edwards & Company, Inc.

One North Brentwood Boulevard Suite 850, St. Louis, MO 63105 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-07-24
CT	RA	APPROVED	2015-07-29

NY RA
APPROVED

Since 2021-07-24
CT RA
APPROVED

Since 2015-07-29

Branch Locations

925 Westchester Ave. Suite Ll-01, White Plains, NY 10604 • United States

One North Brentwood Blvd, Suite 850, St. Louis, MO 63105 • USA

One North Brentwood Boulevard Suite 850, St. Louis, MO 63105 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Benjamin F. Edwards & Company, Inc.	St. Louis	MO	09/2009	Present

09/2009 → Present

Benjamin F. Edwards & Company, Inc.

St. Louis, MO

Other Businesses

1) AGING IN AMERICA, INC. 1500 PELHAM PKWY, BRONX, NY 10461. NATIONAL NON-PROFIT CORP. (SERVICES TO THE ELDERLY) BOARD MEMBER. BOARD MEMBER. 5 HOURS PER MONTH. 2 HOURS PER MONTH.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2015-07-28
S63	Uniform Securities Agent State Law Examination	1986-05-30

S65 Uniform Investment Adviser Law Examination

2015-07-28
S63 Uniform Securities Agent State Law Examination

1986-05-30

View on SEC IAPD

Current Employers

Benjamin F. Edwards & Company, Inc.

Disclosures

Employment History

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

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