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KB

Kevin J. Baumler

Some features on this profile are disabled
CRD#: 2328704
KB

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.

Kevin Joseph Baumler was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 2003. Kevin had worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 18, 2003 - May 14, 2018

BROKER DEALER FINANCIAL SERVICES CORP.

BD
CRD#: 8073
WEST UNION, IA
Past

October 20, 2003 - May 14, 2018

INVESTMENT ADVISORS CORP

RIA
CRD#: 117531
WEST UNION, IA
Past

July 16, 2003 - October 15, 2003

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

July 16, 2003 - October 15, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

June 12, 2003 - October 15, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
WEST UNION, IA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/10/2003
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/4/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/14/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/20/2003
General Securities Representative Examination

Current Firm

BD
BROKER DEALER FINANCIAL SERVICES CORP.
BANKERS FINANCIAL SERVICES CORP. | INVESTCENTRAL | D. K. THIELEKE SECURITIES, INC. | BROKER DEALER FINANCIAL SERVICES CORP. | BROKER DEALER FINANCIAL & INSURANCE SERVICES CORP. | BDF INVESTMENTS AND IBA SECURITIES

CRD#: 8073 / SEC#: , 8-24220

BD
Terminated by SEC on 02/07/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Iowa since 09/14/1979
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BDFSC HOLDINGS CORP.OWNER
SHERWOOD, ROBERT DONALDCFO/TREASURER6699856
SHERZAN, MICHAEL THOMASCHAIRMAN / CHIEF COMPLIANCE OFFICER860793

Disclosures

Regulatory Event4
Arbitration2

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

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

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