Christian Bauman (CRD# 2731904) is an Investment Advisor Representative working at Usca Asset Management LLC in Houston, TX and has over 27 years of experience in the finance industry. Christian Bauman has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 2390431
The Goff Financial Group
CRD# 6877256
Oppenheimer & Company Inc.
CRD# 2700256
Merrill Lynch, Pierce, Fenner & Smith Incorporated
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Usca Asset Management LLC | Houston, TX | Aug 2022 - Current | 1 |
| U.s. Capital Wealth Advisors, LLC | Austin, TX | Jun 2021 - Current | 2 |
| Usca Securities LLC | Houston, TX | Oct 2010 - Current | 13 |
| Usca Ria LLC | Houston, TX | Oct 2010 - Jun 2021 | 10 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Jun 1996 |
| S65 | NASAA Investment Advisors Law Examination | Aug 1997 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- TX
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Total Assets Under Management233MILLIONS
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Total Number of Accounts26ACCOUNTS
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Average Account Value$8,952,100
- A percentage of assets under your management
- Performance-based fees
- Portfolio management for investment companies (as well as "business development companies")
- Portfolio management for pooled investment vehicles (other than investment companies)
DE, TX
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