Vincent M. Garaventa

BAUMAN WEALTH ADVISORS | Financial Consultant

Las Vegas, NV 89129

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CRD#: 6928955

Professional summary

Vincent Michael Garaventa, who also goes by VIncent Michael Garaventa, Vincent Garaventa, is a registered financial advisor currently at BAUMAN WEALTH ADVISORS located in Las Vegas, Nevada.

Vincent is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Vincent has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Biography

I help clients make important financial decisions confidently, by simplifying the complexities of financial planning and investing. My priority is ensuring that my clients have the framework to work towards their goals and reach for success.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Vincent Michael Garaventa | Vincent Garaventa

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.

Bauman Financial Group; Yes; Las Vegas, NV; Insurance Sales; Insurance Agent; 11/2024; 15/ HRS MO; 15/ HRS MO;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vincent Michael Garaventa'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

Education

University of Nevada

Bachelor of Arts (BA) - Criminal Justice

2017

Experience

Current

December 3, 2024 - Present

BAUMAN WEALTH ADVISORS

Office #1: 10501 W Gowan Rd Suite #100, Las Vegas, NV 89129

RIA

CRD#: 153061

Las Vegas, NV

Past

December 15, 2023 - October 18, 2024

MERCER GLOBAL ADVISORS INC.

RIA

CRD#: 147363

Wheat Ridge, CO

Past

February 4, 2021 - December 4, 2023

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

THOUSAND OAKS, CA

Past

January 28, 2021 - November 24, 2023

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

BROOMFIELD, CO

Past

May 29, 2020 - December 31, 2020

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Torrance, CA

Past

May 29, 2020 - January 11, 2021

TD AMERITRADE, INC.

RIA

CRD#: 7870

TORRANCE, CA

Past

May 29, 2020 - January 11, 2021

TD AMERITRADE, INC.

CRD#: 7870

TORRANCE, CA

Past

November 28, 2018 - May 1, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Las Vegas, NV

Past

November 12, 2018 - May 1, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Las Vegas, NV

Past

July 18, 2018 - October 22, 2018

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

SAN FRANCISCO, CA

Past

June 4, 2018 - October 22, 2018

EQUITABLE ADVISORS, LLC

CRD#: 6627

SAN FRANCISCO, CA

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".

BAUMAN WEALTH ADVISORS

BAUMAN ADVISORY GROUP, LLC | BAUMAN WEALTH ADVISORS

CRD#: 153061 / SEC#: 801-131480

RIA

Registered Investment Advisory firm - (11/18/2024 Approved)

California

Registered Investment Advisory firm - (12/22/2024 Terminated)

Nevada

Registered Investment Advisory firm - (11/22/2024 Terminated)

Oklahoma

Registered Investment Advisory firm - (2/5/2024 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.

Highlighted states indicate IAR registrations

IAR

Nevada
(12/3/2024)

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

IAR

Series 66

Date: 7/10/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/4/2018

General Securities Representative Examination

Current Firm

BAUMAN WEALTH ADVISORS

BAUMAN ADVISORY GROUP, LLC | BAUMAN WEALTH ADVISORS

CRD#: 153061 / SEC#: 801-131480

RIA

Registered Investment Advisory firm - (11/18/2024 Approved)

California

Registered Investment Advisory firm - (12/22/2024 Terminated)

Nevada

Registered Investment Advisory firm - (11/22/2024 Terminated)

Oklahoma

Registered Investment Advisory firm - (2/5/2024 Terminated)

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Contact information

Main Address

10501 W Gowan Rd Suite #100, Las Vegas, NV 89129

Mailing Address

Phone number

(702) 897-9997

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV2A SEC (3/4/2025)

Regulatory assets under management

Total Number of Accounts	720
AUM (Assets Under Management)	$ 118,331,201

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Vincent M. Garaventa

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vincent Michael Garaventa's CRS (Customer Relationship Summary).

Certified licenses

Education

University of Nevada

Experience

MERCER GLOBAL ADVISORS INC.

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

BAUMAN WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 7/10/2018

SIE

Date: 10/1/2018

Series 7

Date: 6/4/2018

Current Firm

BAUMAN WEALTH ADVISORS

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BAUMAN WEALTH ADVISORS

TRUST BUT VERIFY

Contact information

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