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Detailed Report
SHANE M BAUMAN
SHANE MICHAEL BAUMAN, Shane Bauman
CRD#: 6035374
IA
Investment Adviser
B
Broker
PARK AVENUE SECURITIES LLCCRD#: 46173 6455 SOUTH YOSEMITE STREET
SUITE 425
GREENWOOD VILLAGE, CO 80111
Registration History
201220142016201820202022202420262 FIRMS2017 - 2019 (1 year)2 FIRMS2019 - 2022 (3 years)2 FIRMS2022 - Present (2 years)BPARK AVENUE SECURITIES LLC (CRD# 46173)2016 - 2017 (1 year)BMWA FINANCIAL SERVICES INC. (CRD# 112630)2012 - 2016 (3 years)IAPARK AVENUE SECURITIES LLC (CRD# 46173)2017 - 2017 (<1 year)
License(s)

State Registrations

B
Alabama 4/4/2024
B
Michigan 11/30/2022
IA
Alabama 4/4/2024
IA
Michigan 11/30/2022
B
Arizona 2/9/2023
B
New Mexico 5/1/2023
IA
Arizona 2/24/2023
IA
New Mexico 5/1/2023
B
Colorado 11/30/2022
B
Ohio 1/31/2025
IA
Colorado 11/30/2022
IA
Ohio 1/31/2025
B
Florida 11/9/2023
B
Tennessee 10/22/2024
IA
Florida 11/13/2023
B
Texas 11/30/2022
B
Iowa 1/11/2025
B
Wyoming 11/30/2022
IA
Iowa 1/14/2025
IA
Wyoming 6/16/2023

SRO Registrations

B
 FINRA

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
PARK AVENUE SECURITIES LLC (CRD#:46173)
6455 SOUTH YOSEMITE STREET SUITE 425, GREENWOOD VILLAGE, CO 80111
Registered with this firm since 11/30/2022
B
PARK AVENUE SECURITIES LLC (CRD#:46173)
6455 SOUTH YOSEMITE STREET SUITE 425, GREENWOOD VILLAGE, CO 80111
Registered with this firm since 11/30/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/15/2019 - 12/06/2022 ONEAMERICA SECURITIES, INC. (CRD#:4173) Greenwood Village, CO
B
 02/15/2019 - 12/06/2022 ONEAMERICA SECURITIES, INC. (CRD#:4173) Greenwood Village, CO
IA
 04/25/2017 - 01/17/2019 MML INVESTORS SERVICES, LLC (CRD#:10409) DENVER, CO
B
 04/19/2017 - 01/17/2019 MML INVESTORS SERVICES, LLC (CRD#:10409) DENVER, CO
IA
 02/27/2017 - 04/12/2017 PARK AVENUE SECURITIES LLC (CRD#:46173) GREENWOOD VILLAGE, CO
B
 01/11/2016 - 04/12/2017 PARK AVENUE SECURITIES LLC (CRD#:46173) GREENWOOD VILLAGE, CO
B
 03/20/2012 - 01/12/2016 MWA FINANCIAL SERVICES INC. (CRD#:112630) CASTLE ROCK, CO
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.