NICHOLAS JOHN BAUMGARTEN is an investment adviser representative (IAR) with state registration records since 2015, appearing at 2 firms. Currently registered with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED.
| Firm | From | To | Current |
|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2020-08-31 | present | Yes |
| UBS FINANCIAL SERVICES INC. | 2015-08-21 | 2020-09-10 | — |