Russell P. Bauman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Russell Paul Bauman was a registered financial professional .
Russell is a previously registered financial professional and started their career in finance in 1983. Russell had worked at 3 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2009 - December 31, 2023
VALMARK ADVISERS, INC.
January 12, 2009 - December 31, 2023
VALMARK SECURITIES, INC.
September 19, 1999 - January 8, 2009
NEW ENGLAND SECURITIES
February 14, 1983 - January 8, 2009
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
VALMARK ADVISERS, INC.
CRD#: 108050 / SEC#: 801-55564
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
VALMARK ADVISERS, INC.
CRD#: 108050 / SEC#: 801-55564
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 19,096 |
| AUM (Assets Under Management) | $ 8,379,181,235 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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