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Detailed Report
Craig Joseph Bauman
CRAIG J. BAUMAN
CRD#: 4443488
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 1799 HARDING HIGHWAY
LIMA, OH 45804
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - 2003 (1 year)2 FIRMS2012 - Present (12 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2006 - 2012 (6 years)BBANC ONE SECURITIES CORPORATION (CRD# 16999)2001 - 2002 (<1 year)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2008 - 2012 (4 years)
License(s)

State Registrations

B
Alabama 9/5/2014
B
Mississippi 9/5/2014
B
Arizona 1/10/2014
B
Montana 8/11/2017
B
California 12/21/2016
B
North Carolina 1/14/2021
B
Colorado 9/12/2024
B
North Dakota 5/6/2021
B
Florida 10/1/2012
B
Ohio 10/1/2012
B
Illinois 10/1/2012
IA
Ohio 10/1/2012
B
Indiana 10/1/2012
B
Pennsylvania 9/22/2014
B
Iowa 8/1/2014
B
South Carolina 4/28/2014
B
Kansas 9/22/2014
B
Tennessee 4/14/2022
B
Kentucky 10/1/2012
B
Texas 10/1/2012
B
Massachusetts 9/5/2014
IA
Texas 9/19/2013
B
Michigan 6/9/2014

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX Emerald, LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, LLC
B
 Nasdaq PHLX LLC
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
J.P. MORGAN SECURITIES LLC (CRD#:79)
1799 HARDING HIGHWAY, LIMA, OH 45804
135 S. MAIN STREET, BLUFFTON, OH 45817
Registered with this firm since 10/1/2012
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
1799 HARDING HIGHWAY, LIMA, OH 45804
135 S. MAIN STREET, BLUFFTON, OH 45817
Registered with this firm since 10/1/2012
Previous Registration(s)
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IA
 10/01/2008 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) LIMA, OH
B
 09/22/2006 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) LIMA, OH
IA
 07/19/2002 - 08/14/2003 A. G. EDWARDS & SONS, INC. (CRD#:4) LIMA, OH
B
 06/10/2002 - 08/14/2003 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
B
 09/18/2001 - 06/10/2002 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
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.