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James Henry Baumann

Iams Wealth Management, LLC

Omaha, NE

Phoenix, AZ

CRD 1638218

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Employer firm

Iams Wealth Management, LLC CRD 286085

$397M regulatory AUM 20 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • GENERAL CONSULTING SERVICES

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

Current Employers
Iams Wealth Management, Llc

18881 West Dodge Road Suite 180E, Omaha, NE 68022 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-10-31
CA RA APPROVED 2021-07-30
AZ RA APPROVED 2019-11-20
  • TX RA
    APPROVED
    Since 2024-10-31
  • CA RA
    APPROVED
    Since 2021-07-30
  • AZ RA
    APPROVED
    Since 2019-11-20

Branch Locations

18881 West Dodge Road Suite 180E, Omaha, NE 68022 • United States

Phoenix, AZ • 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
Self Employed Phoenix AZ 01/1986 Present
Client One Securities, Llc Leawood KS 03/2011 10/2019
Iams Wealth Management Elkhorn NE 10/2019 Present
  • 01/1986 → Present
    Self Employed
    Phoenix, AZ
  • 03/2011 → 10/2019
    Client One Securities, Llc
    Leawood, KS
  • 10/2019 → Present
    Iams Wealth Management
    Elkhorn, NE
Other Businesses

SALES OF LIFE/HEALTH INSURANCE AND ANNUITIES. 3037 N VALENCIA LN, PHOENIX, AZ 85018

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1987-03-27
  • S63 Uniform Securities Agent State Law Examination
    1987-03-27
Designations
  • Certified Financial Planner
Other Names
  • Jim Baumann

View on SEC IAPD

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