Michael Louis Bauman

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/1997 → Present
  Rossi, Schlotter & Company
  Solon, OH
• 06/2004 → 08/2019
  Cetera Financial Specialists Llc
  Schaumburg, IL
• 05/2004 → 08/2019
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 08/2019 → Present
  Lpl Financial Llc
  Solon, OH

Previous Registrations

• 2004-05-07 → 2019-08-09
  Cetera Investment Advisers Llc
  Mayfield Heights, OH
  Solon, OH
• 2002-07-22 → 2004-09-30
  Genworth Financial Planning Corporation
  Mayfield Heights, OH

Other Businesses

1) 08/05/2019 - DBA for LPL Business (entity for LPL business) - RS FINANCIAL SERVICES, LLC - Start Date 08/2001 - 90 hours per month/ 54 hours during trading - INVESTMENT RELATED - At Reported Business Location(s) 2) 12/17/2024- Delguyd, Walter & Associates- CPA Affiliate Program- INV Related- At reported business locations(s)- Start date 01/01/2024- 75 Hours Per Month- 3 Hours During Trading 3) 01/13/2026 - Camprop, Inc - Outside/W-2 Employment - Investment Related - Estero, FL - Start Date 01/01/2026 - 75 hours per month/ 3 hours during trading

Exams

• S66 Uniform Combined State Law Examination
  2002-01-16