Kenneth N. Bauso

MARIDEA WEALTH MANAGEMENT

Marfa, TX

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CRD#: 3129411

Professional summary

Kenneth Neil Bauso JR, who also goes by Kenneth Neil Bauso, is a registered financial advisor currently at MARIDEA WEALTH MANAGEMENT located in Marfa, Texas.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Kenneth has worked at 3 firms and has passed the Series 63, Series 3, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kenneth Neil Bauso

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.

Mr. Bauso serves as an Investment Advisor Representative for Huckleberry Capital Management, LLC since 11/2019 and with Maridea Wealth Management since 02/2024. This dual registration is strictly for transitional purposes only.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Neil Bauso JR'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®

None

Experience

Current

February 29, 2024 - Present

MARIDEA WEALTH MANAGEMENT

Office #2: 25 Kent Avenue Suite 401, Brooklyn, NY 11249

RIA

CRD#: 325523

Marfa, TX

Past

November 4, 2019 - November 8, 2024

HUCKLEBERRY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 173149

Marfa, TX

Past

December 18, 1998 - June 9, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

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".

MARIDEA WEALTH MANAGEMENT

CRD#: 325523 / SEC#: 801-129360

RIA

Registered Investment Advisory firm - (1/31/2024 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

Texas
(2/29/2024)

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: 1/20/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 3/22/2002

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 6/22/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 11/24/1998

General Securities Representative Examination

Current Firm

MARIDEA WEALTH MANAGEMENT

CRD#: 325523 / SEC#: 801-129360

RIA

Registered Investment Advisory firm - (1/31/2024 Approved)

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Contact information

Main Address

25 Kent Avenue Suite 401, Brooklyn, NY 11249

Mailing Address

Phone number

(347) 289-5227

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (8/13/2025)

Regulatory assets under management

Total Number of Accounts	2,509
AUM (Assets Under Management)	$ 469,226,780

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.

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Firm Stability Insights

Kenneth N. Bauso

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Neil Bauso JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

HUCKLEBERRY CAPITAL MANAGEMENT, LLC

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

MARIDEA WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 1/20/1999

Series 3

Date: 3/22/2002

Series 55

Date: 6/22/1999

Series 7

Date: 11/24/1998

Current Firm

MARIDEA WEALTH MANAGEMENT

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MARIDEA WEALTH MANAGEMENT

TRUST BUT VERIFY

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