Kenneth A. Bauman

WEST MICHIGAN ADVISORS

Holland, MI 49423

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CRD#: 2514380

Professional summary

Kenneth Alan Bauman is a registered financial advisor currently at WEST MICHIGAN ADVISORS located in Holland, Michigan and LEVEL FOUR FINANCIAL, LLC located in Holland, Michigan.

Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Kenneth has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Kenneth Alan Bauman's CRS (Customer Relationship Summary).

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

July 23, 2021 - Present

WEST MICHIGAN ADVISORS

Office #1: 301 Hoover Blvd. Suite 300, Holland, MI 49423

RIA

CRD#: 312073

Holland, MI

Current

November 14, 2022 - Present

LEVEL FOUR FINANCIAL, LLC

Office #1: 301 Hoover Blvd. Suite 300, Holland, MI 49423

CRD#: 25700

Holland, MI

Past

July 2, 2021 - November 17, 2022

CANTELLA & CO., INC.

CRD#: 13905

Holland, MI

Past

September 24, 2010 - July 7, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

GRAND RAPIDS, MI

Past

January 1, 2008 - July 7, 2021

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

GRAND RAPIDS, MI

Past

January 3, 2003 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

GRAND RAPIDS, MI

Past

September 16, 1994 - January 10, 2003

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

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".

WEST MICHIGAN ADVISORS

CRD#: 312073 / SEC#: 801-120208

RIA

Registered Investment Advisory firm - (1/21/2021 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(9/20/2024)

California
(11/14/2022)

Florida
(11/14/2022)

Georgia
(11/14/2022)

IAR

Michigan
(7/23/2021)

Michigan
(11/14/2022)

Ohio
(9/20/2024)

Texas
(11/14/2022)

Washington
(11/14/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/23/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/20/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/15/1994

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

WEST MICHIGAN ADVISORS

CRD#: 312073 / SEC#: 801-120208

RIA

Registered Investment Advisory firm - (1/21/2021 Approved)

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Contact information

Main Address

301 Hoover Blvd. Suite 300, Holland, MI 49423

Mailing Address

Phone number

(616) 820-1040

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TAMARISK FINANCIAL 2A (2/12/2026)

Regulatory assets under management

Total Number of Accounts	2,993
AUM (Assets Under Management)	$ 781,324,025

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Kenneth A. Bauman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Alan Bauman's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEVEL FOUR FINANCIAL, LLC

CANTELLA & CO., INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

ROBERT W. BAIRD & CO. INCORPORATED

Primary Firm SEC Registration

WEST MICHIGAN ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 9/23/1994

Series 63

Date: 9/20/1994

SIE

Date: 10/1/2018

Series 7

Date: 9/15/1994

FINRA

Current Firm

WEST MICHIGAN ADVISORS

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEST MICHIGAN ADVISORS

TRUST BUT VERIFY

Contact information

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