Unclaimed Profile

Neal James Baumann

BENJAMIN F. EDWARDS & COMPANY, INCORPORATED·ST. LOUIS, Missouri

SIE, Series 3, Series 6, Series 7, Series 8, Series 9, Series 10, Series 63, Series 65Clean record11 years registeredBENJAMIN F. EDWARDS & COMPANY, INCORPORATED

ONE NORTH BRENTWOOD BOULEVARD, ST. LOUIS, MO 63105CRD# 1480636Firm CRD# 146936

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Neal James Baumann · ST. LOUIS, MO

Registration

CRD #1480636 · BENJAMIN F. EDWARDS & COMPANY, INCORPORATED · 11 years registered

Brand Profile

Not yet started

Career History

BENJAMIN F. EDWARDS & COMPANY, INCORPORATED

Jul 2015 – present

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 6

Series 7

Series 8

Series 9

Series 10

Series 63

Series 65

Registration record

First registered · July 29, 2015

Years registered · 11

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

BENJAMIN F. EDWARDS & COMPANY, INCORPORATED

CRD 146936 · SEC 801-71421

AUM

$13.2B

Regulatory assets under management

Employees

711

44,978 client accounts

Services offered by BENJAMIN F. EDWARDS & COMPANY, INCORPORATED

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at BENJAMIN F. EDWARDS & COMPANY, INCORPORATED →

Introduction

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Frequently Asked Questions

What services does Neal James Baumann offer?

Neal James Baumann specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in ST. LOUIS, Missouri for a consultation.

What are Neal James Baumann's credentials?

Neal James Baumann is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Neal James Baumann located?

Neal James Baumann is based in ST. LOUIS, Missouri, working with BENJAMIN F. EDWARDS & COMPANY, INCORPORATED. Their office serves clients in the ST. LOUIS metropolitan area and surrounding communities.

How does Neal James Baumann charge for services?

Neal James Baumann's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is BENJAMIN F. EDWARDS & COMPANY, INCORPORATED?

BENJAMIN F. EDWARDS & COMPANY, INCORPORATED has approximately 711 employees and manages $13.2B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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