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Robert Baumann Resigns from TD Private Client Wealth

Robert Baumann (CRD #: 6825157), a broker formerly registered with Purshe Kaplan Sterling Investments, resigned from an investment advisory firm, according to his BrokerCheck record, accessed on January 19, 2023. Keep reading to learn more about his alleged conduct as a broker.

Resignation from TD Private Client Wealth

On November 18, 2022, Robert Baumann resigned from investment advisory firm TD Private Client Wealth after allegedly violating firm policy and causing the firm to maintain inauthentic books and records by improperly processing client account opening paperwork.

FINRA Rule 4511

FINRA Rule 4511 requires firms to keep accurate and up-to-date books and records.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Robert Baumann has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

He previously worked for Purshe Kaplan Sterling Investments (CRD#:35747).

Kurta Law Can Help

If you worked with Robert Baumann and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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