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Norman R Bauman

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pennington, NJ

Dallas, TX

Collingswood, NJ

CRD 5441900

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Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars
  • PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2013-07-02
NJ RA APPROVED 2011-02-14
  • TX RA
    APPROVED_RES
    Since 2013-07-02
  • NJ RA
    APPROVED
    Since 2011-02-14

Branch Locations

1100-1800 American Blvd Central Business Review Unit, Pennington, NJ 08534 • United States

901 Main St Central Business Review Unit, Dallas, TX 75202 • United States

Collingswood, NJ • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch Pennington NJ 09/2005 Present
  • 09/2005 → Present
    Merrill Lynch
    Pennington, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-02-11
  • S66 Uniform Combined State Law Examination
    2011-02-11
Other Names
  • Norman Bauman

View on SEC IAPD

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