Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ira? Claim Your ProfileIra Michael Bauman is a financial advisor who has been in the industry since 1983. Ira is currently registered with Raymond James & Associates, Inc., a firm that manages over $433 billion in assets. Ira has previously worked with Morgan Stanley, UBS Financial Services Inc. and Paine Webber Incorporated. Ira holds the Series 3, 5, 7 and 63 licenses and the SIE exam certification. He is licensed in over 20 states, and has a significant number of clients across various categories.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Please see note in schedule d - miscellaneous
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
NY
11/05/2020 - Present
Raymond James & Associates, Inc. (NEW YORK NY)
NY
06/01/2009 - 04/07/2016
MORGAN STANLEY (NEW YORK NY)
NY
09/05/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NY
04/04/1988 - 09/19/2008
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NA
03/11/1988 - 04/04/1988
PAINEWEBBER INCORPORATED
NA
01/19/1983 - 03/17/1988
DREXEL BURNHAM LAMBERT INCORPORATED
BC
Issued 01/25/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/28/1983
Series 5 - Interest Rate Options Examination
BC
Issued 01/15/1983
Series 7 - General Securities Representative Examination
BC
Issued 12/28/1982
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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