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Thomas Bauman

Thomas Bauman

Director of Investments

As Director of the Investment Department, Tom provides a layer of specialization to Mike and his team. His responsibilities include all areas of investment policy and design as it relates to the unique macroeconomic financial planning model that Mike provides to his clients. Tom supports Mike's planning work by analyzing and building investment portfolios, researching and identifying investment opportunities, and helping manage all equity accounts.

Tom has been part of the NEFN team since 2002. He’s held a Certified Financial Planner (CFP®) designation since 1990, obtained his Chartered Financial Consultant (ChFC®) designation in 2011, and his Retirement Income Certified Professional (RICP®) designation in 2015 from the American College of Financial Services. Before joining NEFN, he started his career as an accountant at Price Waterhouse in New York City and became a CPA in 1986.

Registered Representative and Financial Advisor of Park Avenue Securities LLC (PAS). Securities products and advisory services offered through PAS, member FINRA, SIPC. Financial Representative of The Guardian Life Insurance Company of America® (Guardian), New York, NY. PAS is a wholly-owned subsidiary of Guardian. Northeast Financial Network is not an affiliate or subsidiary of PAS or Guardian.

CA License #0F15970