SEC Info - George K. Baum & Co, et al. - ‘MA-I/A’ on 10/2/19

EDGAR Submission

Header Data:

Submission Type: MA-I/A

Filer Info:

Filer:

Filer ID: 922113

Filer CCC: XXXXXXXX

Contact:

Name: Dana Bjornson

Phone Number: 816-283-5240

Contact Email: bjornson@gkbaum.com

Notifications:

Internet Notification Address: petentler@gkbaum.com

Internet Notification Address: viers@gkbaum.com

Form Data:

Is Amendment? No

Is Individual? Yes

Applicant Name:

First Name: ALEC

Middle Name: NMN

Last Name: LEHRER

Applicant CRD Num.: 4770448

Has More Than One Advisory Firms? No

No of Advisory Firms: 1

Municipal Advisor Offices:

Municipal Advisor Office:

Municipal Firm:

Municipal Filer:

Filer ID: 922113

Municipal Firm Name: GEORGE K. BAUM & COMPANY

Recent Employment Commenced Date: 11/16/10

Is Independent Relatioship? No

MA Registration:

Not SEC Registered:

Has Filed?

Filing Date: 7/11/14

CIK: 922113

Advisor Offices:

Advisor Office:

Location Info: SUPERVISED

Start Date: 11/16/10

Address Info:

Address:

Street 1: 1400 WEWATTA STREET

Street 2: SUITE 800

City: DENVER

State or Country: CO

ZIP Code: 80202

Advisor Office:

Location Info: LOCATED

Start Date: 9/27/18

Address Info:

Address:

Street 1: One Main Street

Street 2: Suite 202

City: Chatham

State or Country: NJ

ZIP Code: 07928

Residential History:

Employment History:

Current Employer:

Start Date: 03-2007

Name: GEORGE K. BAUM & COMPANY

Address Info:

City: KANSAS CITY

State or Country:

State or Country: MO

ZIP Code: 64112

Is Related to Municipal Advisor? Yes

Is Related to Investment? Yes

Position Description: SVP-SHORT TERM NOTE DESK

Prior Employers:

Prior Employer:

Start Date: 07-2002

End Date: 03-2007

Name: GE/GENWORTH

Address Info:

City: NEW YORK

State or Country:

State or Country: NY

ZIP Code: 10017

Is Related to Municipal Advisor? Yes

Is Related to Investment? Yes

Position Description: PORTFOLIO MANAGER

Is Engaged in Other Business? Yes

Other Businesses:

Other Business:

Start Date: 03-2012

Name: EMPIRE COLORADO GROUP LLC

Address Info:

Street 1: 2350 SOUTH LINDEN COURT

City: DENVER

State or Country: CO

ZIP Code: 80222

Is Related to Municipal Advisor? No

Is Related to Investment? No

Nature of Business: ACQUIRING RENTAL PROPERTIES

Position Description: MEMBER

Approximate Hours or Months: 5

Duties Description: DUTIES RELATED TO BEING AN LLC MEMBER

Other Business:

Start Date: 09-2018

Name: Lyft

Address Info:

Street 1: 185 Berry Street

City: San Francisco

State or Country: CA

ZIP Code: 94158

Is Related to Municipal Advisor? No

Is Related to Investment? No

Nature of Business: Driving

Position Description: Independent Contractor

Approximate Hours or Months: 5

Duties Description: Driver

Other Business:

Start Date: 09-2018

Name: Uber

Address Info:

Street 1: 4665A Paris Street

City: Denver

State or Country: CO

ZIP Code: 80239

Is Related to Municipal Advisor? No

Is Related to Investment? No

Nature of Business: Driving

Position Description: Independent Contractor

Approximate Hours or Months: 5

Duties Description: Driver

Disclosure Questions:

Criminal Disclosure:

Criminal Disclosure Common Question:

Is Convicted of Felony? No

Is Charged With Felony? No

Is Org. Convicted of Felony? No

Is Org. Charged With Felony? No

Is Convicted of Misdemeanor? No

Is Charged With Misdemeanor? No

Is Org. Convicted of Misdemeanor? No

Is Org. Charged With Misdemeanor? No

Regulatory Disclosure:

Regulatory Disclosure Common Question:

Is Made False Statement? No

Is Violated Regulation? No

Is Cause of Denial? No

Is Order Against? No

Is Imposed Penalty? No

Is Unethical? No

Is Found in Violation of Regulation? No

Is Found in Cause of Denial? No

Is Order Against Activity? No

Is Denied License? No

Is Found Made False Statement? No

Is Found in Violation of Rules? No

Is Found in Cause of Suspension? No

Is Discipliend? No

Is Authorized to Act Attorney? No

Is Regulatory Complaint? No

Is Violated Security Act? No

Is Willfully Aided? No

Is Failed to Supervise? No

Is Found Willfully Aided? No

Is Association Bared? No

Is Final Order? No

Is Willfully Violated Security Act? No

Is Failed Resonably? No

Investigation Disclosure:

Is Investigated? No

Civil Disclosure:

Is Enjoined? No

Is Found in Violation of Regulation? No

Is Dismissed? No

Is Named in Civil Proceeding? No

Complaint Disclosure:

Is Complaint Pending? No

Is Complaint Settled? No

Is Fraud Case Pending? No

Is Fraud Case Resulted Award? No

Is Fraud Case Settled? No

Termination Disclosure:

Is Viloated Industry Standard? No

Is Involved in Fraud? No

Is Failed to Supervise? No

Financial Disclosure:

Is Compromised? No

Is Bankruptcy Petition? No

Is Trustee Apointed? No

Is Bond Revoked? No

Judgment Lien Disclosure:

Is Lien Against? No

Signature Info:

Signature:

Date Signed: 9/30/19

Signature: Dana Bjornson

Title: EVP

George K. Baum & Co, et al. – ‘MA-I/A’ on 10/2/19

On: Wednesday, 10/2/19, at 8:09am ET · As of: 9/30/19 · Accession #: 922113-19-98 · File #: 868-02021

Previous ‘MA-I’: ‘MA-I/A’ on 9/30/19 · Latest ‘MA-I’: This Filing

Amendment to Information Regarding a Natural Person Who Engages in Municipal Advisory Activities — Form MA-I
Filing Table of Contents

This ‘MA-I/A’ Document is an XML Data File that may be rendered in various formats:

George K. Baum & Co, et al. – ‘MA-I/A’ on 10/2/19

On: Wednesday, 10/2/19, at 8:09am ET · As of: 9/30/19 · Accession #: 922113-19-98 · File #: 868-02021

Previous ‘MA-I’: ‘MA-I/A’ on 9/30/19 · Latest ‘MA-I’: This Filing

Amendment to Information Regarding a Natural Person Who Engages in Municipal Advisory Activities — Form MA-IFiling Table of Contents

This ‘MA-I/A’ Document is an XML Data File that may be rendered in various formats:

Amendment to Information Regarding a Natural Person Who Engages in Municipal Advisory Activities — Form MA-I
Filing Table of Contents