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Phillip Baumann

Independent Investment Advisor, LLC

Campton Hills, IL

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Current Employers
Independent Investment Advisor, Llc

Campton Hills, IL • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2024-08-27
  • IL RA
    APPROVED
    Since 2024-08-27

Branch Locations

Campton Hills, IL • 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
Independent Investment Advisor, Llc Elgin IL 10/2021 Present
Bl Management One, Llc Streamwood IL 04/2017 Present
Windy City Harley Davidson St. Charles IL 03/2007 03/2017
  • 10/2021 → Present
    Independent Investment Advisor, Llc
    Elgin, IL
  • 04/2017 → Present
    Bl Management One, Llc
    Streamwood, IL
  • 03/2007 → 03/2017
    Windy City Harley Davidson
    St. Charles, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-10-09
  • S65 Uniform Investment Adviser Law Examination
    2021-10-09

View on SEC IAPD

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