IB
IB
Ira Bauman
43 Years of Experience
New York, NY
3 DisclosuresBroker
Ira Bauman is a registered investment advisor at Wells Fargo Advisors, based in New York, NY, with 43 years of industry experience. Their practice areas include Retirement Planning. Their firm serves 401,726 clients with $200B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3710 advisors
IM Fee
Planning only
Assets Under Management
$197.4B
Fee Structure
Investment management only (planning not offered)
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
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Location
485 Madison Ave 6th Floor, [Satellite], New York, NY, 10022
Get directionsHistory
Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 2024Settled
Customer Dispute
December 2013Denied
Customer Dispute
June 2008Settled
Other Business Activities
Ira is a trustee/successor trustee for Fran Bauman since 2019. He spends minimal time on this activity.
Employment History
Current Registrations
Wells Fargo Advisors Financial Network, LLCBroker
January 2026 - Present · 4 mos
Wells Fargo Advisors
January 2026 - Present · 4 mos
Previous Registrations
Raymond James & Associates, INC.
March 2016 - January 2026 · 9 yrs 10 mos
Raymond James & Associates, INC.Broker
March 2016 - January 2026 · 9 yrs 10 mos
Morgan StanleyBroker
June 2009 - April 2016 · 6 yrs 10 mos
Morgan Stanley
June 2009 - April 2016 · 6 yrs 10 mos
Morgan Stanley & CO. Incorporated
September 2008 - June 2009 · 9 mos
Morgan Stanley & CO. IncorporatedBroker
September 2008 - June 2009 · 9 mos
UBS Financial Services INC.
January 2006 - September 2008 · 2 yrs 8 mos
UBS Financial Services INC.Broker
April 1988 - September 2008 · 20 yrs 5 mos
Painewebber IncorporatedBroker
March 1988 - April 1988 · 1 mo
Drexel Burnham Lambert IncorporatedBroker
January 1983 - March 1988 · 5 yrs 2 mos
State Registrations26 states
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AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.