SB
Shane M. Bauman
PARK AVENUE SECURITIES LLC
Greenwood Village, CO 80111
Some features on this profile are disabled
CRD#: 6035374
SB
Professional summary
Shane M Bauman, who also goes by Shane Michael Bauman, Shane Bauman, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Greenwood Village, Colorado.
Shane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Shane has worked at 4 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shane Michael Bauman | Shane Bauman
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.
1) Trustee for parents, Start date: 01/05/2017, Address: 2485 S. Russellville Road, Franktown, CO 80116, 0 total hours per month 0 during securities trading hours, Not Investment related, No annual compensation, 2) RISE-DBA, write insurance business outside of Innovative UW, Start date: 04/01/2023, Address: 6455 S. Yosemite St, Ste 425 Greenwood Village, CO 80111, 2 total hours per month; 2 during securities trading hours, Investment related, Less than 10% annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Shane M Bauman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Shane M Bauman's 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®
NoneExperience
Current
November 30, 2022 - Present
PARK AVENUE SECURITIES LLC
Office #1: 6455 South Yosemite Street Suite 425, Greenwood Village, CO 80111RIA
BD
CRD#: 46173
Greenwood Village, CO
Current
November 30, 2022 - Present
PARK AVENUE SECURITIES LLC
Office #1: 6455 South Yosemite Street Suite 425, Greenwood Village, CO 80111RIA
BD
CRD#: 46173
Greenwood Village, CO
Past
February 15, 2019 - December 6, 2022
ONEAMERICA SECURITIES, INC.
RIA
CRD#: 4173
Greenwood Village, CO
Past
February 15, 2019 - December 6, 2022
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
Greenwood Village, CO
Past
April 25, 2017 - January 17, 2019
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
DENVER, CO
Past
April 19, 2017 - January 17, 2019
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
DENVER, CO
Past
February 27, 2017 - April 12, 2017
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
GREENWOOD VILLAGE, CO
Past
January 11, 2016 - April 12, 2017
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
GREENWOOD VILLAGE, CO
Past
March 20, 2012 - January 12, 2016
MWA FINANCIAL SERVICES INC.
BD
CRD#: 112630
CASTLE ROCK, CO
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".
PA
PARK AVENUE SECURITIES LLC
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
RIA
Registered Investment Advisory firm - SEC (11/13/2000 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/2/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/4/2024)
IAR
Alabama(4/4/2024)
RR
Arizona(2/9/2023)
IAR
Arizona(2/24/2023)
RR
Colorado(11/30/2022)
IAR
Colorado(11/30/2022)
RR
Florida(11/9/2023)
IAR
Florida(11/13/2023)
RR
Iowa(1/11/2025)
IAR
Iowa(1/14/2025)
RR
Michigan(11/30/2022)
IAR
Michigan(11/30/2022)
RR
New Mexico(5/1/2023)
IAR
New Mexico(5/1/2023)
RR
North Carolina(10/28/2025)
IAR
North Carolina(10/28/2025)
RR
Ohio(1/31/2025)
IAR
Ohio(1/31/2025)
RR
South Carolina(10/28/2025)
IAR
South Carolina(10/28/2025)
RR
Tennessee(10/22/2024)
RR
Texas(11/30/2022)
RR
Wyoming(11/30/2022)
IAR
Wyoming(6/16/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/13/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PARK AVENUE SECURITIES LLC
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
RIA
Registered Investment Advisory firm - SEC (11/13/2000 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/2/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
10 Hudson Yards, New York, NY 10001
Mailing Address
10 Hudson Yards, New York, NY 10001
Phone number
+1 (888) 600-4667
Established
Delaware since 08/20/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,984
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA | OWNER | |
| BOGGS, ALLEN WARREN | HEAD OF PRODUCT & SUPERVISION | 4751363 |
| CASWELL, MARIANNE GRACE | PRESIDENT AND ELECTED MEMBER | 6424651 |
| DAVARASHVILI, KATE | FINOP/PRINCIPAL FINANCIAL OFFICER. | 5642325 |
| DESROCHERS, CARL | ELECTED MEMBER | 7807194 |
| GALLO, JOSEPH MICHAEL | CHIEF COMPLIANCE OFFICER | 3108044 |
| HERGAN, JOSHUA NEIL | GENERAL COUNSEL | 4572643 |
| LESINA, LEYLA ADA | ELECTED MEMBER | 3004323 |
| MAHER, CARLY PRITCHARD | HEAD OF WEALTH MANAGEMENT STRATEGY AND BUSINESS OPERATIONS | 4003223 |
| PERRY, MICHAEL ANDREW | ELECTED MEMBER | 2688179 |
| RYNIKER, MICHAEL JOHN | PRINCIPAL OPERATIONS OFFICER | 2474604 |
Regulatory assets under management
| Total Number of Accounts | 71,074 |
| AUM (Assets Under Management) | $ 14,998,852,974 |
Disclosures
| Regulatory Event | 20 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 01/22/2025 | ||
| 11/15/2023 |
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.
