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Jeremiah Bauman

LPL Financial LLC
31 Years of Experience
Stevenson Ranch, CA
1 DisclosureBrokerSells Insurance
View SEC Summary
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Jeremiah Bauman is a registered investment advisor at LPL Financial LLC, based in Stevenson Ranch, CA, with 31 years of industry experience. Jeremiah is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Stevenson Ranch, CA

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History

Regulatory History (1)
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.
Employment Separation After Allegations
January 2000
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Jeremiah spends about 5% of his time selling life insurance and fixed annuities through Bauman Financial Services. He also owns rental property and operates under the DBAs Bauman Scott Financial Services and BaumanScott.com for his LPL business, dedicating about half his time to the former.

Employment History
Current Registrations
LPL Financial LLCBroker
September 2007 - Present · 19 yrs 1 mo
LPL Financial LLC
September 2007 - Present · 19 yrs 1 mo
Previous Registrations
Merrill Lynch Pierce Fenner & Smith INC.
June 2002 - August 2007 · 5 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 2002 - August 2007 · 5 yrs 2 mos
Banc of America Securities LLCBroker
March 2000 - September 2001 · 1 yr 6 mos
Cruttenden Roth IncorporatedBroker
February 1997 - February 2000 · 3 yrs
Toluca Pacific Securities CORP.Broker
October 1995 - November 1996 · 1 yr 1 mo
Pacific Brokerage Services, INC.Broker
May 1994 - September 1995 · 1 yr 4 mos
Columbus Financial, INC.Broker
September 1993 - February 1994 · 5 mos
Great Western Financial Securities CorporationBroker
April 1993 - July 1993 · 3 mos
State Registrations20 states
AZCACOCTFLHIINMAMIMTNHNJNMNVOHORTXUTVAWA
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.
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