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James Tenbroeck Baumann

Equity Services, Inc.

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About James Tenbroeck Baumann

James Baumann is a financial professional with over 8 years of experience in the industry. James is a Chartered Financial Consultant, and is currently registered with Equity Services, Inc., in South Carolina. James has a Series 6TO and SIE, and is actively involved in providing financial planning and investment advice to individuals, corporations, and retirement plans. In addition to their work at Equity Services, Inc., James is also a race management contractor, independently providing services.

Firm Information

James Baumann is currently registered with Equity Services, Inc.. Equity Services, Inc. is a Vermont-based corporation founded in 1968. The firm provides financial planning, pension consulting, and educational seminars. They also offer portfolio management services for individuals and select other advisors. Equity Services, Inc. manages over $2 billion in assets for a variety of clients, including individuals, high-net-worth individuals, charitable organizations, corporations, and pension plans. The firm is registered with the SEC and in all 50 states.
Equity Services, Inc.

ONE NATIONAL LIFE DRIVE

MONTPELIER, VT 05604

$2.12B

Assets Under Management

204

Total Clients

615

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Baumann’s Registration & Firm History

VT

01/15/2025 - Present

Equity Services, Inc. (MONTPELIER VT)

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Licenses & Designations

BC

Issued 06/05/2024

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 03/08/2024

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Tenbroeck Baumann.
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