Jeffrey S. Baumann

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CRD#: 1989836

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.

Jeffrey Schurman Baumann was a registered financial professional .

Jeffrey is a previously registered financial professional and started their career in finance in 1989. Jeffrey had worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

None

Experience

Past

May 25, 2010 - April 12, 2019

PRINCETON GLOBAL ASSET MANAGEMENT LLC

RIA

CRD#: 146644

PRINCETON, NJ

Past

October 18, 1991 - August 30, 2002

MERRILL LYNCH INVESTMENT MANAGERS LP

RIA

CRD#: 105068

PRINCETON, NJ

Past

November 14, 1989 - August 30, 2002

FAM DISTRIBUTORS, INC.

CRD#: 4100

NEW YORK, NY

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".

PRINCETON GLOBAL ASSET MANAGEMENT LLC

CRD#: 146644 / SEC#: 801-71305

RIA

Registered Investment Advisory firm - (4/9/2010 Approved)

Texas

Registered Investment Advisory firm - (4/22/2010 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 65

Date: 5/24/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/26/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/21/1989

General Securities Representative Examination

Current Firm

PRINCETON GLOBAL ASSET MANAGEMENT LLC

CRD#: 146644 / SEC#: 801-71305

RIA

Registered Investment Advisory firm - (4/9/2010 Approved)

Texas

Registered Investment Advisory firm - (4/22/2010 Terminated)

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Contact information

Main Address

17 Hulfish Street Suite 240, Princeton, NJ 08542

Mailing Address

Phone number

(609) 945-1781

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PRINCETON GLOBAL ASSET MANAGEMENT, LLC FORM ADV PART 2A: FIRM BROCHURE (5/13/2025)

Regulatory assets under management

Total Number of Accounts	1,164
AUM (Assets Under Management)	$ 782,787,247

Red Flags

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

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Jeffrey S. Baumann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRINCETON GLOBAL ASSET MANAGEMENT LLC

MERRILL LYNCH INVESTMENT MANAGERS LP

FAM DISTRIBUTORS, INC.

Primary Firm SEC Registration

PRINCETON GLOBAL ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/24/2010

Series 63

Date: 2/26/1990

Series 7

Date: 10/21/1989

Current Firm

PRINCETON GLOBAL ASSET MANAGEMENT LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PRINCETON GLOBAL ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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