Broker Check
Tom Bauman

Tom Bauman

Investment Specialist

Tom Bauman is part of the Executive Management Team at Northeast Financial Network. Through NEFN, our clients gain access to hundreds of product specialists and back office support.


 As Director of the Investment Department, he provides a layer of specialization to the 70 plus financial services professionals at the firm. Mr. Bauman's responsibilities include all areas of investment policy and design as it relates to the unique macroeconomic financial planning model that the planners of NEPC provide to their clients.Mr. Bauman has been part of the NEPC team since 2002, and recently was promoted to the Director of Investment Department position. He's held a Certified Financial Planner (CFP®) designation since 1990 and obtained his Chartered Financial Consultant (ChFC®) designation from The American College of Financial Services back in 2011. Before joining NEPC, he received his CPA license in 1986 and started his career as an accountant at Price Waterhouse.


In 2012 he was awarded the prestigious Five Star Wealth Managers Award*, which is highlighted in New Jersey Monthly magazine. This award was obtained by the quality of service and knowledge that he provides his clients. Although an Executive in the firm, he still enjoys maintaining and growing his client base and keeping to his hands on approach.

In addition to his responsibilities of heading up the Investment Department, he will also play a lead role in the Alliance program at NEPC. Beyond CPA opportunities he will also build on the success of the NEPC Program with Property and Casualty, Law Firms, Employee Benefit companies, and Credit Unions.


Member of The Financial Planning Association of NJ
Co-Chairman of the Andover Regional Education Foundation Golf Outing


University of Scranton, Bachelor of Science Degree in Accounting, 1983


* This award is not issued or endorsed by Guardian or its subsidiaries.

Registered Representative & Investment Advisory Representative of Park Avenue Securities, Financial Representative of Guardian.  CA insurance license #0F15970.