Kevin James Bauer

Current Employers

Employment History

• 09/2005 → 10/2017
  Ameriprise Financial Services, Inc.
  Hudson, OH
• 10/2017 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 10/2017 → Present
  Fms
  Valley View, OH
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2002-02-15 → 2017-10-23
  Ameriprise Financial Services, Llc
  Hudson, OH
  Independence, OH
  Westlake, OH
  Independence, OH

Other Businesses

(1) NAME OF OTHER BUSINESS: FINANCIAL MANAGEMENT STRATEGIES, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM THAT PROVIDES PORTFOLIO MANAGEMENT, FINANCIAL PLANNING, ESTATE PLANNING, AND ADDITIONAL ADVISORY SERVICES. POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE START DATE: 10/2017 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVISORY REPRESENTATIVE (2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 10/2017 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE (3) NAME OF OTHER BUSINESS: RENTAL PROPERTY ; INVESTMENT RELATED: NO ; ADDRESS: 2858 CHIPPENDALE DR, HUDSON OH 44236 ; NATURE OF BUSINESS: RENTAL PROPERTY ; START DATE: 11/2014 ; POSITION/TITLE/RELATIONSHIP: OWNER ; APX NUMBER OF HOURS PER WEEK: 5 ; APX NUMBER OF HOURS DURING TRADING HOURS: 5 ; BRIEF DESCRIPTION OF DUTIES: CONTACT PERSON FOR INQUIRIES, BOOKINGS, SERVICE, ETC ; (4) NAME OF OTHER BUSINESS: FINANCIAL MANAGEMENT STRATEGIES, INC. INVESTMENT RELATED: YES ADDRESS: 9050 SWEET VALLEY DR, VALLEY VIEW, OH 44125 NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 10/2017 POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE APX NUMBER OF HOURS PER WEEK: 30 APX NUMBER OF HOURS DURING TRADING HOURS: 30 BRIEF DESCRIPTION OF DUTIES: REGISTERED REPRESENTATIVE (5) NAME OF OTHER BUSINESS: AKRON CHILDRENS HOSPITAL FOUNDATION; INVESTMENT RELATED: NO; ADDRESS: ONE PERKINS SQUARE AKRON OH 44308; NATURE OF BUSINESS: NON PROFIT; START DATE: 3/2021; POSITION/TITLE/RELATIONSHIP: VOLUNTEER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: PARTICIPATE IN VARIOUS FUND RAISING ACTIVITIES THROUGHOUT YEAR.; (6) NAME OF OTHER BUSINESS: VISION WEALTH MANAGEMENT ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 04/2021 ; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSSIONAL ; APX NUMBER OF HOURS PER WEEK: 30 ; APX NUMBER OF HOURS DURING TRADING HOURS: 30 ; BRIEF DESCRIPTION OF DUTIES: DBA NAME FOR SECURITIES AND INSURANCE ; (7) NAME OF OTHER BUSINESS: THE KIWANIS CLUB OF HUDSON/HUDSON KIWANIS FOUNDATION; INVESTMENT RELATED: NO; ADDRESS: P O COX 554 HUDSON, OH 44236; NATURE OF BUSINESS: FUNDRAISING; START DATE: 02/2022; POSITION/TITLE/RELATIONSHIP: VOLUNTEER/.MEMBER; APX NUMBER OF HOURS PER WEEK: 2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 2 ; BRIEF DESCRIPTION OF DUTIES: PARTICIPATE IN 4X4X48 GOGGINS CHALLENGE, PROMOTE PARTICIPATION VIA FB AND GOFUNDME FOR DONATIONS;

Exams

• S63 Uniform Securities Agent State Law Examination
  1998-12-12