Brett J. Bauman

HUNGERFORD FINANCIAL LLC

Grand Rapids, MI 49546

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CRD#: 6647444

Professional summary

Brett Joseph Bauman, who also goes by Brett Bauman, is a registered financial advisor currently at HUNGERFORD FINANCIAL LLC located in Grand Rapids, Michigan and UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Grand Rapids, Michigan.

Brett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Brett has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brett 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.) HUNGERFORD FINANCIAL - WEALTH ADVISOR - DBA NAME FOR MARKETING PURPOSES ONLY - GRAND RAPIDS, MI - SINCE 08/2022 - INVESTMENT RELATED 2.) HUNGERFORD FINANCIAL - WEALTH ADVISOR - REGISTERED INVESTMENT ADVISOR - GRAND RAPIDS, MI - SINCE 08/2022 - INVESTMENT RELATED 3.) HUNGERFORD WEALTH - WEALTH ADVISOR - DBA NAME FOR MARKETING PURPOSES ONLY - GRAND RAPIDS, MI - SINCE 01/2024 - INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett Joseph 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

September 7, 2022 - Present

HUNGERFORD FINANCIAL LLC

Office #1: 2910 Lucerne Drive Se, Grand Rapids, MI 49546

RIA

CRD#: 249789

Grand Rapids, MI

Current

August 19, 2022 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #1: 2910 Lucerne Dr. Se, Grand Rapids, MI 49546

RIA

CRD#: 20804

Grand Rapids, MI

Past

May 30, 2019 - August 5, 2022

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

SCOTTSDALE, AZ

Past

August 14, 2017 - August 5, 2022

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

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".

HUNGERFORD FINANCIAL LLC

HANC WEALTH MANAGEMENT, LLC | HUNGERFORD FINANCIAL LLC

CRD#: 249789 / SEC#: 801-114535

RIA

Registered Investment Advisory firm - (1/30/2019 Approved)

Michigan

Registered Investment Advisory firm - (4/30/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Florida
(1/18/2023)

Michigan
(8/19/2022)

IAR

Michigan
(9/7/2022)

North Carolina
(8/28/2023)

Washington
(1/9/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/29/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/23/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/14/2017

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

HUNGERFORD FINANCIAL LLC

HANC WEALTH MANAGEMENT, LLC | HUNGERFORD FINANCIAL LLC

CRD#: 249789 / SEC#: 801-114535

RIA

Registered Investment Advisory firm - (1/30/2019 Approved)

Michigan

Registered Investment Advisory firm - (4/30/2019 Terminated)

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Contact information

Main Address

2910 Lucerne Drive Se, Grand Rapids, MI 49546

Mailing Address

Phone number

(616) 302-1558

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - FIRM BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	892
AUM (Assets Under Management)	$ 378,295,537

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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Advisor Monitoring

Firm Stability Insights

Brett J. Bauman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett Joseph Bauman's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

HUNGERFORD FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/29/2019

Series 63

Date: 8/23/2017

SIE

Date: 10/1/2018

Series 7

Date: 8/14/2017

FINRA

Current Firm

HUNGERFORD FINANCIAL LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HUNGERFORD FINANCIAL LLC

TRUST BUT VERIFY

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