James H. Baumann

IAMS WEALTH MANAGEMENT

Phoenix, AZ

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CRD#: 1638218

Professional summary

James Henry Baumann, CFP®, who also goes by Jim Baumann, is a registered financial advisor currently at IAMS WEALTH MANAGEMENT, LLC located in Phoenix, Arizona.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. James has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Baumann

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

SALES OF LIFE/HEALTH INSURANCE AND ANNUITIES. 3037 N VALENCIA LN, PHOENIX, AZ 85018

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Henry Baumann's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

November 20, 2019 - Present

IAMS WEALTH MANAGEMENT, LLC

RIA

CRD#: 286085

Phoenix, AZ

Past

March 8, 2011 - October 15, 2019

CREATIVEONE SECURITIES, LLC

CRD#: 152974

PHOENIX, AZ

Past

November 27, 2007 - June 1, 2010

MADISON AVENUE SECURITIES, LLC

CRD#: 23224

PHOENIX, AZ

Past

August 6, 1997 - December 4, 2007

LPL FINANCIAL LLC

CRD#: 6413

PHOENIX, AZ

Past

January 1, 1990 - August 6, 1997

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

Past

March 30, 1987 - January 2, 1988

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

CRD#: 2682

Past

March 25, 1987 - December 9, 1989

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

IAMS WEALTH MANAGEMENT, LLC

CRD#: 286085 / SEC#: 801-108875

RIA

Registered Investment Advisory firm - (1/9/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(11/20/2019)

IAR

California
(7/30/2021)

IAR

Texas
(10/31/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 3/27/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/21/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/13/1997

General Securities Principal Examination

Current Firm

IAMS WEALTH MANAGEMENT, LLC

CRD#: 286085 / SEC#: 801-108875

RIA

Registered Investment Advisory firm - (1/9/2017 Approved)

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Contact information

Main Address

18881 West Dodge Road Suite 180e, Omaha, NE 68022

Mailing Address

Phone number

(888) 255-7670

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

IAMS WEALTH MANAGEMENT, LLC FORM ADV PART 2A BROCHURE (10/6/2025)

Regulatory assets under management

Total Number of Accounts	2,104
AUM (Assets Under Management)	$ 343,012,390

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

James H. Baumann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Henry Baumann's CRS (Customer Relationship Summary).

Certified licenses

Experience

CREATIVEONE SECURITIES, LLC

MADISON AVENUE SECURITIES, LLC

LPL FINANCIAL LLC

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

IAMS WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/27/1987

SIE

Date: 10/1/2018

Series 7

Date: 3/21/1987

Series 24

Date: 10/13/1997

Current Firm

IAMS WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

IAMS WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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