Kelly Lynn 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

• 10/2003 → 11/2016
  Sii Investments
  Appleton, WI
• 02/2018 → 06/2018
  Cetera Advisors Llc
  Denver, CO
• 11/2016 → 02/2018
  National Planning Holdings
  Appleton, WI
• 06/2018 → 06/2018
  Summit Brokerage Services, Inc.
  Boca Raton, FL
• 06/2018 → Present
  Lpl Financial Llc
  Denver, CO
• 06/2021 → 06/2024
  Ica Group Wealth Management, Llc
  Denver, CO

Previous Registrations

• 2021-06-11 → 2024-09-23
  Ica Group Wealth Management, Llc
  Denver, CO
• 2018-03-12 → 2018-07-02
  Cetera Advisors Llc
  Greenwood Village, CO
• 2006-06-02 → 2018-02-26
  Sii Investments, Inc.
  Appleton, WI
  Appleton, WI
  Appleton, WI
  Appleton, WI
  Cherry Hill, NJ
• 2015-01-02 → 2018-02-26
  Investment Centers Of America, Inc.
  Bismarck, ND
  Appleton, WI
  Appleton, WI
• 2016-12-08 → 2018-02-26
  National Planning Corporation
  Appleton, WI
  Los Angeles, CA

Other Businesses

1. 08/06/2019 - Investment Center Advisor Group - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:11/29/2017 - 0 hrs/mo - 0 hrs during trading. 2. 9/24/2020 - ICA Group Holding Co., LLC - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 09/01/2020 - Time Spent 10%. 3. 01/16/2026 - Investment Center Advisor Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 11/29/2017 - 160 hours per month/ during trading

Exams

• S66 Uniform Combined State Law Examination
  2006-05-22
• S63 Uniform Securities Agent State Law Examination
  1991-01-31

Other Names

• Kelly Lynn Murphy
• Kelly Vanalstine
• Kelly Lynn Vanalstine
• Kelly Lynn Van Alstine