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DB

David S. Bauman

PHILLIP CAPITAL
Chicago, IL 60604-2653
Some features on this profile are disabled
CRD#: 4137648
DB

Professional summary

David Sheridan Bauman is a registered financial professional currently at PHILLIP CAPITAL INC. located in Chicago, Illinois.

David is registered as a RR (Registered Representative) and started their career in finance in 2000. David has worked at 4 firms and has passed the Series 63, Series 55, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view David Sheridan Bauman'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

December 19, 2019 - Present

PHILLIP CAPITAL INC.

Office #1: 141 W. Jackson, Suite 1531a, Chicago, IL 60604-2653
BD
CRD#: 173869
Chicago, IL
Past

September 30, 2006 - September 16, 2014

G1 EXECUTION SERVICES, LLC

BD
CRD#: 111528
CHICAGO, IL
Past

December 21, 2005 - September 30, 2006

E*TRADE CAPITAL MARKETS - EXECUTION SERVICES LLC

BD
CRD#: 1625
CHICAGO, IL
Past

May 18, 2000 - August 31, 2000

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA

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.

Exams

State Security Law Exam
RR
Series 63
Date: 1/24/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 5/31/2006
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 12/20/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/17/2000
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA

Current Firm

PC
PHILLIP CAPITAL INC.
PHILLIP CAPITAL INC. | PHILLIPCAPITAL

CRD#: 173869 / SEC#: , 8-69558

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
141 W. Jackson, Suite 1531a, Chicago, IL 60604-2653
Mailing Address
141 W. Jackson, Suite 1531a, Chicago, IL 60604-2653
Phone number
(312) 356-9000
Established
Delaware since 04/30/2010
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (44 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PHILLIP CAPITAL (USA) PTE LTDOWNER
CARTER, DEREK DAVIDCFO4261872
CULLEN, TIMOTHY BRENNANCHIEF COMPLIANCE OFFICER5290046
FRAZIER, CAMERON PAYNEDIRECTOR6420648
LECCHINI, FILIPPOCHIEF EXECUTIVE OFFICER5875701
SCHROEDER, TODD ALLENCHIEF OPERATING OFFICER3203892

Disclosures

Regulatory Event6

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

PHILLIP CAPITAL INC.

CRD#: 173869Chicago, IL 60604-2653

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