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David Marcus Baum

Investment Adviser Representative at CAPACUITY LLC

Frisco, TXCRD #867275Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
43 yrs
States Registered
38 states
Exams Passed
8

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

David Marcus Baum has worked in the securities industry since 1983. They are registered to provide investment advisory services in 38 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 38 states
AlabamaAlaskaArizonaArkansasCaliforniaColoradoConnecticutDelawareFloridaGeorgiaHawaiiIdahoIllinoisIndianaIowaKansasKentuckyMarylandMassachusettsMichiganMinnesotaMissouriNebraskaNevadaNew JerseyNew YorkNorth CarolinaOhioOklahomaOregonPennsylvaniaSouth CarolinaTennesseeTexasUtahVirginiaWashingtonWisconsin
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 2/6/2015
Series 63
Uniform Securities Agent State Law Examination
Passed 8/12/1988
Series 22
Direct Participation Programs Representative Examination
Passed 1/2/2023
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 8/12/2002
Series 1
Registered Representative Examination
Passed 6/4/1979
Series 26
Investment Company Products/Variable Contracts Principal Examination
Passed 6/28/1990

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Capacuity LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

CAPACUITY SECURITIES, INC.Current
11/7/2022Frisco, TX
CAPACUITY LLCCurrent
10/21/2022Frisco, TX
NEWPORT GROUP CONSULTING, LLC
1/8/20188/8/2022Dallas, TX
NEWPORT GROUP SECURITIES, INC.
2/25/201512/22/2017Dallas, TX

Official records & sources

Data as of June 27, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at CAPACUITY LLC

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View CAPACUITY LLC firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. David Marcus Baum has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

David Marcus Baum - Financial Advisor in Frisco, TX | AdvisorFinder