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Detailed Report
David Robert Bauman
DAVID R BAUMAN, DAVID ROBERT BAUMAN, David Bauman
CRD#: 4310277
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 480 PILGRIM WAY
GREEN BAY, WI 54304
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2017 - Present (7 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2007 - 2009 (1 year)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2001 - 2007 (6 years)BROBERT W. BAIRD & CO. INCORPORATED (CRD# 8158)2001 - 2002 (<1 year)
License(s)

State Registrations

B
Arizona 2/2/2018
B
New Jersey 4/12/2023
B
California 9/9/2019
B
New York 3/22/2018
B
Colorado 2/26/2020
B
North Carolina 5/21/2018
B
Florida 3/22/2018
IA
Texas 9/10/2019
B
Illinois 3/22/2018
B
Wisconsin 9/5/2017
B
Iowa 1/29/2020
IA
Wisconsin 9/5/2017
B
Michigan 9/9/2019

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
480 PILGRIM WAY, GREEN BAY, WI 54304
Registered with this firm since 9/5/2017
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
480 PILGRIM WAY, GREEN BAY, WI 54304
Registered with this firm since 7/21/2017
Previous Registration(s)
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B
 08/16/2007 - 01/05/2009 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) MIDDLETON, WI
B
 02/16/2001 - 04/04/2007 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) MIDDLETON, WI
B
 02/16/2001 - 01/01/2002 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) MILWAUKEE, WI
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.