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Mary Margaret Bauman

Arax Advisory Partners

New York, NY

Houston, TX

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Current Employers
Arax Advisory Partners

10 East 53Rd Street 14Th Floor, New York, NY 10022 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-07-14
  • TX RA
    APPROVED
    Since 2026-07-14

Branch Locations

10 East 53Rd Street 14Th Floor, New York, NY 10022 • United States

4444 Westheimer Road Suite G500, Houston, TX 77027 • 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
Incarnate Word Academy Houston TX 06/2014 05/2019
Texas A&M University College Station TX 08/2019 05/2023
U.S. Capital Advisors Llc Houston TX 06/2022 08/2022
U.S. Capital Advisors Llc Houston TX 06/2023 08/2023
U.S. Capital Advisors Llc Houston TX 01/2024 06/2026
Unemployed Houston TX 09/2023 11/2023
Arax Advisory Partners Houston TX 06/2026 Present
Usca Securities Llc Houston TX 10/2024 Present
  • 06/2014 → 05/2019
    Incarnate Word Academy
    Houston, TX
  • 08/2019 → 05/2023
    Texas A&M University
    College Station, TX
  • 06/2022 → 08/2022
    U.S. Capital Advisors Llc
    Houston, TX
  • 06/2023 → 08/2023
    U.S. Capital Advisors Llc
    Houston, TX
  • 01/2024 → 06/2026
    U.S. Capital Advisors Llc
    Houston, TX
  • 09/2023 → 11/2023
    Unemployed
    Houston, TX
  • 06/2026 → Present
    Arax Advisory Partners
    Houston, TX
  • 10/2024 → Present
    Usca Securities Llc
    Houston, TX
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-06-23
S63 Uniform Securities Agent State Law Examination 2024-12-14
  • S65 Uniform Investment Adviser Law Examination
    2025-06-23
  • S63 Uniform Securities Agent State Law Examination
    2024-12-14
Other Names
  • Mimi Bauman
  • Mary Margaret Bauman

View on SEC IAPD

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ISLET MANAGEMENT, LP · NEW YORK, NY
P2 CAPITAL PARTNERS, LLC · NEW YORK, NY
KINYAN CAPITAL MANAGEMENT LLC · NEW YORK, NY
BRIGHTSPIRE CAPITAL ADVISORS, LLC · NEW YORK, NY
ACORN ADVISORY CAPITAL, L.P. · NEW YORK, NY
COMPASS GROUP LLC · NEW YORK, NY
CRESTVIEW PARTNERS · NEW YORK, NY
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