Jeremiah Leonard Bauman

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 09/2007 → Present
  Lpl Financial Llc (Formerly: Linsco/Private Ledger Corp.)
  Stevenson Ranch, CA

Previous Registrations

• 2002-06-17 → 2007-08-21
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Encino, CA
  Encino, CA

Other Businesses

(1) 10/30/2007: BAUMAN FINANCIAL SERVICES - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE DBA: BAUMAN FINANCIAL SERVICES - 5% OF TIME SPENT - SELLING LIFE AND FIXED ANNUITIES (2) 03/23/2015: NO BUSINESS NAME - INV REL - 25818 HAMMET CR, STEVENSON RANCH CA 91381 - START 03/23/2015 - 1 HR/MO NONE DURING SECS TRDDG HRS - RENTAL PROPERTY OWNER (3) 09/01/2017 - Bauman Scott Financial Services - investment related - at reported business location(s) - DBA for LPL Business (entity for LPL business) - 100 hours per month during securities trading. 4) 05/12/2025 - BaumanScott.com - investment related - at reported business location(s) - DBA for LPL Business (entity for LPL business) - 0 Hrs/Mth - 0 Hrs During Trading.

Exams

• S66 Uniform Combined State Law Examination
  2002-07-15
• S63 Uniform Securities Agent State Law Examination
  1993-05-25

Other Names

• Jeremy Bauman