Neil J. 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.
Neil Jeffrey Bauman, who also goes by Neil J Bauman, was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1991. Neil had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2017 - December 31, 2017
LIFEMARK SECURITIES CORP.
May 23, 2005 - July 17, 2015
LIFEMARK SECURITIES CORP.
August 17, 2004 - May 13, 2005
WALL STREET FINANCIAL GROUP, INC.
June 26, 2003 - May 13, 2005
WALL STREET FINANCIAL GROUP, INC.
September 9, 2002 - June 25, 2003
QUICK & REILLY, INC.
November 23, 2001 - June 25, 2003
QUICK & REILLY, INC.
March 17, 1997 - November 16, 2001
WALL STREET FINANCIAL GROUP, INC.
September 20, 1995 - July 18, 1996
HSBC BROKERAGE (USA) INC.
September 8, 1994 - February 21, 1995
AMERICAN FREEDOM SECURITIES, INC.
April 21, 1994 - August 25, 1994
SECO WEST LIMITED
January 4, 1993 - March 31, 1994
CAPITAL BROKERAGE CORPORATION
September 24, 1991 - December 10, 1992
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
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
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
