Karen L Bauman

Employer firm

&Partners CRD 3767

$30.3B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  South Bend, IN
• 11/2016 → 11/2025
  Wells Fargo Clearing Services, Llc
  South Bend, IN
• 11/2025 → Present
  &Partners
  Nashville, TN

Previous Registrations

• 2006-11-15 → 2025-11-12
  Wells Fargo Clearing Services, Llc
  Mishawaka, IN
  South Bend, IN
  South Bend, IN
  South Bend, IN
  Elkhart, IN
  Granger, IN

Other Businesses

CENTRAL INDIANA SCENT WORK POSITION: Secretary NATURE: Organizing and holding K-9 Scentwork trials. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 10/17/2023 ADDRESS: North Judson, IN DESCRIPTION: Secretary for the club to organize k-9 Scentwork trials NACSW SRL POSITION: NACSW SRL NATURE: Trained as a Scoreroom lead and able to run the scoreroom at NACSW K-9 dog trials INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 05/16/2022 ADDRESS: Granger, IN DESCRIPTION: Official NACSW k9 Nosework trials scoreroom duties. CENTRAL INDIANA SCENT WORK POSITION: Show Committee NATURE: Organizing Scentwork Dog Trials INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/21/2022 ADDRESS: North Judson, IN DESCRIPTION: Show Committee to organize K-9 Scentwork dog trials

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-11-14
• S63 Uniform Securities Agent State Law Examination
  2000-04-10

Other Names

• Karen L Dodd
• Karen L Bauman-Dodd
• Karen L Dodd
• Karen Lee Baumandodd
• Karen Lee Dodd
• Karen Bauman Dodd