SHANE MICHAEL BAUMAN

SHANE MICHAEL BAUMAN is currently employed as a Broker and/or Investment Adviser at MML INVESTORS SERVICES, LLC located at METROPOINT I, 4600 SOUTH ULSTER STREET, SUITE 1200, DENVER, CO, 80237.

SHANE MICHAEL BAUMAN has worked at MML INVESTORS SERVICES, LLC since April 19, 2017

Disclosure History

SHANE MICHAEL BAUMAN has 1 Disclosure Event(s).

Date: November 26, 2008
Category: Financial
Type: Bankruptcy
Disposition: Discharged
Broker Comment: MY WIFE WAS VERY ILL, AND MEDICAL EXPENSES, COMBINED WITH OTHER DEBT, MADE THINGS UNSURMOUNTABLE. BANKRUPTCY WAS RECOMMENDED BY AN ACCREDITED FINANCIAL PLANNER AFTER REVIEWING OUR SITUATION. THE BANKRUPTCY HAS BEEN DISCHARGED.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for SHANE MICHAEL BAUMAN, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.