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Michael C. Bauder

HARBERT FUND ADVISORS
Birmingham, AL 35203
Some features on this profile are disabled
CRD#: 2318491
MB

Professional summary

Michael Conrad Bauder, who also goes by Michael C Bauder, Mike Bauder, is a registered financial advisor currently at HARBERT FUND ADVISORS, INC. located in Birmingham, Alabama.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Michael has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14, Series 27, Series 53, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Michael C Bauder | Mike Bauder

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Conrad Bauder's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 3, 2007 - Present

HARBERT FUND ADVISORS, INC.

Office #1: 2100 Third Avenue North, Ste 600, Birmingham, AL 35203
RIA
CRD#: 110577
Birmingham, AL
Past

July 28, 2006 - February 7, 2025

HMC INVESTMENTS, LLC

BD
CRD#: 40581
BIRMINGHAM, AL
Past

August 14, 2003 - December 15, 2004

HANCOCK WHITNEY INVESTMENT SERVICES INC.

RIA
CRD#: 40637
BATON ROUGE, LA
Past

January 19, 2001 - July 28, 2006

HANCOCK WHITNEY INVESTMENT SERVICES INC.

BD
CRD#: 40637
BATON ROUGE, LA
Past

January 12, 1999 - December 31, 2000

INVESTMENT CENTERS OF AMERICA, INC.

BD
CRD#: 16443
APPLETON, WI
Past

January 11, 1999 - January 18, 2001

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
APPLETON, WI
Past

January 21, 1997 - February 11, 1999

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

July 19, 1994 - January 21, 1997

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

April 13, 1994 - July 25, 1994

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HF
HARBERT FUND ADVISORS, INC.
HARBERT CREDIT OPPORTUNITIES FUND GP, LLC ("RELYING ADVISER") | THE HARBINGER GROUP, INC. | HARBINGER MEZZANINE PARTNERS | HARBINGER GROUP INC | HARBERT VALUE FUND GP, LLC ("RELYING ADVISER") | HARBERT MICROCAP PARTNERS FUND GP ("RELYING ADVISER") | HARBERT MACRO FUND GP, LLC ("RELYING ADVISER") | HARBERT FUND ADVISORS, INC. | HARBERT EVENT OPPORTUNITIES GP, LLC ("RELYING ADVISER")

CRD#: 110577 / SEC#: 801-55926

RIA
Registered Investment Advisory firm - (10/27/1998 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Alabama
(1/3/2007)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/28/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/12/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 3/30/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/5/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 27
Date: 3/27/2001
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 5/24/1999
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 4/24/1996
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/26/1994
General Securities Principal Examination

Current Firm

HF
HARBERT FUND ADVISORS, INC.
HARBERT CREDIT OPPORTUNITIES FUND GP, LLC ("RELYING ADVISER") | THE HARBINGER GROUP, INC. | HARBINGER MEZZANINE PARTNERS | HARBINGER GROUP INC | HARBERT VALUE FUND GP, LLC ("RELYING ADVISER") | HARBERT MICROCAP PARTNERS FUND GP ("RELYING ADVISER") | HARBERT MACRO FUND GP, LLC ("RELYING ADVISER") | HARBERT FUND ADVISORS, INC. | HARBERT EVENT OPPORTUNITIES GP, LLC ("RELYING ADVISER")

CRD#: 110577 / SEC#: 801-55926

RIA
Registered Investment Advisory firm - (10/27/1998 Approved)
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Contact information

Main Address
2100 Third Avenue North, Ste 600, Birmingham, AL 35203
Mailing Address
Phone number
(205) 987-5500
Established
Firm type
Fiscal year end
# of Employees
147

SEC notice filing (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A 3.31.25 (3/31/2025)

Regulatory assets under management

Total Number of Accounts53
AUM (Assets Under Management)$ 8,033,713,480

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.

Company Information

HARBERT FUND ADVISORS, INC.

CRD#: 110577Birmingham, AL 35203

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