Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Bauman is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. David has over 15 years of experience in the financial services industry. David is registered with the state of Wisconsin and Texas. David is a member of the Neenah Rotary Club and the Neenah Rotary Club Foundation. David specializes in providing financial planning services to individuals, corporations, and charitable organizations.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
WI
09/05/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (GREEN BAY WI)
WI
08/16/2007 - 01/05/2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MIDDLETON WI)
WI
02/16/2001 - 04/04/2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MIDDLETON WI)
WI
02/16/2001 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
BOTH
Issued 09/01/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/15/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/21/2017
Series 7 - General Securities Representative Examination
BC
Issued 02/15/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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