Martin J. Bauer
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Martin James Bauer III was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1988. Martin had worked at 10 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2016 - July 1, 2019
KESTRA ADVISORY SERVICES, LLC
August 4, 2009 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
August 4, 2009 - July 1, 2019
KESTRA INVESTMENT SERVICES, LLC
October 29, 2008 - August 7, 2009
FIRST ALLIED SECURITIES, INC.
December 5, 2007 - August 7, 2009
FIRST ALLIED SECURITIES, INC.
May 5, 2003 - December 11, 2007
ASSOCIATED SECURITIES CORP.
July 1, 2002 - November 17, 2008
BFF WEALTH MANAGEMENT, INC.
April 20, 2001 - December 11, 2007
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
April 16, 2001 - December 11, 2007
ASSOCIATED SECURITIES CORP.
May 17, 2000 - April 26, 2001
ALLIANCE ADVISORY & SECURITIES, INC.
January 14, 1999 - May 8, 2000
OSAIC FA, INC.
June 7, 1991 - July 16, 1992
FSC SECURITIES CORPORATION
November 23, 1988 - February 5, 1990
BOARDWALK CAPITAL CORPORATION
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
