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Thomas F. Bauman, CFP®, RICP®, ChFC®

Thomas F. Bauman, CFP®, RICP®, ChFC®

Director of Investments

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 PriceWaterhouse in New York City and became a CPA in 1986.

He has been awarded the prestigious Five Star Wealth Managers Award* five times since 2012, which is highlighted in New Jersey Monthly magazine.  This award is obtained by the quality of service and knowledge that he provides his clients.

He is part of the Executive Management Team at Northeast Financial Network.  As Director of the Investment Department, he provides a layer of specialization to the 70 plus financial services professionals at the firm.  His responsibilities include all areas of investment policy and design as it relates to the unique macroeconomic financial planning model that the planners at NEFN provide to their clients.  Although an executive in the firm, Tom still enjoys maintaining and growing his personal practice and keeping to his hands on approach with his clients.

“I protect families' futures. I look at not only their assets and liabilities, but also their protection components, income and cash flow, as it relates to retirement.  I design plans and strategies that are the most efficient for the objectives my clients are trying to achieve.”

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


The Financial Planning Association of NJ


The University of Scranton, BS Accounting, 1983.


Registered Representative and Financial Advisor of Park Avenue Securities, Financial Representative of Guardian. CA Insurance Lic. #0F15970