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KB

Kenneth N. Bauso

MARIDEA WEALTH MANAGEMENT
Marfa, TX
Some features on this profile are disabled
CRD#: 3129411
KB

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.
The advisor shows no other business activity.

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

BD
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".
MW
MARIDEA WEALTH MANAGEMENT
BAY STREET CAPITAL HOLDINGS | VITALSTONE FINANCIAL | PINNACLE WEALTH | MARIDEA WEALTH MANAGEMENT LLC | MARIDEA WEALTH MANAGEMENT | HUCKLEBERRY CAPITAL MANAGEMENT | HOOT WEALTH | HERITAGE FINANCIAL STRATEGIES | HARTSHORNE GROUP

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)

Exams

State Security Law Exam
RR
Series 63
Date: 1/20/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 3/22/2002
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 6/22/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/24/1998
General Securities Representative Examination

Current Firm

MW
MARIDEA WEALTH MANAGEMENT
BAY STREET CAPITAL HOLDINGS | VITALSTONE FINANCIAL | PINNACLE WEALTH | MARIDEA WEALTH MANAGEMENT LLC | MARIDEA WEALTH MANAGEMENT | HUCKLEBERRY CAPITAL MANAGEMENT | HOOT WEALTH | HERITAGE FINANCIAL STRATEGIES | HARTSHORNE GROUP

CRD#: 325523 / SEC#: 801-129360

RIA
Registered Investment Advisory firm - (1/31/2024 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
21

SEC notice filing (16 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (1/30/2026)

Regulatory assets under management

Total Number of Accounts4,904
AUM (Assets Under Management)$ 958,721,478

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.

Company Information

MARIDEA WEALTH MANAGEMENT

CRD#: 325523Marfa, TX

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