Michael E. Fauser

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CRD#: 2695008

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.

Michael Earl Fauser, who also goes by Mike Earl Fauser, Mike Fauser, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mike Earl Fauser | Mike Fauser

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.

07/01/2009 - Mr. Fauser is a licensed insurance agent with The Fauser Group, LLC. He licensed to provide Life, Disability, Variable insurance products; Mercer Island, WA; investment related; 5 hours per month;

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

April 4, 2016 - December 31, 2023

THE FAUSER GROUP, LLC

RIA

CRD#: 282351

MERCER ISLAND, WA

Past

July 13, 2004 - April 1, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

MERCER ISLAND, WA

Past

July 13, 2004 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 13, 2004 - April 1, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MERCER ISLAND, WA

Past

July 25, 2003 - April 29, 2004

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN DIEGO, CA

Past

June 25, 2002 - April 29, 2004

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

July 17, 2001 - July 12, 2002

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

January 12, 1996 - February 5, 1996

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

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".

THE FAUSER GROUP, LLC

THE FAUSER GROUP, LLC | VELOCITY WEALTH MANAGEMENT, LLC

CRD#: 282351 / SEC#: 801-118322

RIA

Registered Investment Advisory firm - (3/27/2020 Approved)

Texas

Registered Investment Advisory firm - (3/31/2020 Terminated)

Washington

Registered Investment Advisory firm - (5/1/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/24/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/20/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/1/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/16/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/29/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/31/2002

General Securities Principal Examination

Current Firm

THE FAUSER GROUP, LLC

THE FAUSER GROUP, LLC | VELOCITY WEALTH MANAGEMENT, LLC

CRD#: 282351 / SEC#: 801-118322

RIA

Registered Investment Advisory firm - (3/27/2020 Approved)

Texas

Registered Investment Advisory firm - (3/31/2020 Terminated)

Washington

Registered Investment Advisory firm - (5/1/2020 Terminated)

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Contact information

Main Address

3040 78th Ave Se #591, Mercer Island, WA 98040

Mailing Address

Phone number

(206) 466-2542

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (3/13/2025)

Regulatory assets under management

Total Number of Accounts	810
AUM (Assets Under Management)	$ 249,997,138

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.

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Advisor Monitoring

Firm Stability Insights

Michael E. Fauser

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

PIPER SANDLER & CO.

WOODBURY FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

THE FAUSER GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/24/2003

Series 63

Date: 12/20/2001

SIE

Date: 4/1/2016

Series 7

Date: 7/16/2001

Series 6

Date: 12/29/1995

Series 24

Date: 7/31/2002

Current Firm

THE FAUSER GROUP, LLC

Contact information

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE FAUSER GROUP, LLC

TRUST BUT VERIFY

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