Unclaimed Profile

Todd Charles Bauman

BAUMAN ADVISORY GROUP, LLC·LAS VEGAS, Nevada

Series 7, Series 63, Series 6522 years registeredBAUMAN ADVISORY GROUP, LLC

10501 W GOWAN RD, LAS VEGAS, NV 89129CRD# 2605865Firm CRD# 153061

Profile Verification

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

Identity

Todd Charles Bauman · LAS VEGAS, NV

Registration

CRD #2605865 · BAUMAN ADVISORY GROUP, LLC · 22 years registered

Brand Profile

Not yet started

Career History

BAUMAN WEALTH ADVISORS

Mar 2010 – present

APPLIED INVESTMENT TECHNOLOGY, INC

May 2009 – Aug 2011

LAS VEGAS, NV

BAUMAN, TODD

Jan 2006 – Dec 2006

LAS VEGAS, NV

SYNERGY INVESTMENT GROUP, LLC

May 2004 – Mar 2005

LAS VEGAS, NV

Registrations & Exams

FINRA examinations passed

Series 7

Series 63

Series 65

Registration record

First registered · May 11, 2004

Years registered · 22

Disclosure History

2026Regulatory·Final

2021Regulatory·Final

1999Customer Dispute·Award / Judgment

3 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, limited to the records FINRA BrokerCheck displays, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

BAUMAN ADVISORY GROUP, LLC

CRD 153061 · SEC 801-131480

AUM

$105M

Regulatory assets under management

Employees

677 client accounts

Services offered by BAUMAN ADVISORY GROUP, LLC

Per Form ADV

Portfolio management (individuals)

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

View all advisors at BAUMAN ADVISORY GROUP, LLC →

Introduction

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Frequently Asked Questions

What services does Todd Charles Bauman offer?

Todd Charles Bauman specializes in Investment Management. Contact their office in LAS VEGAS, Nevada for a consultation.

What are Todd Charles Bauman's credentials?

Todd Charles Bauman is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Todd Charles Bauman located?

Todd Charles Bauman is based in LAS VEGAS, Nevada, working with BAUMAN ADVISORY GROUP, LLC. Their office serves clients in the LAS VEGAS metropolitan area and surrounding communities.

How does Todd Charles Bauman charge for services?

Todd Charles Bauman's firm is compensated through percentage of aum, other: referral fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is BAUMAN ADVISORY GROUP, LLC?

BAUMAN ADVISORY GROUP, LLC has approximately 4 employees and manages $105M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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