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Michael Earl Fauser

CRD# 2695008·Registered 1996 - 2023
Previously Registered: Being a previously registered professional could mean that Michael 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.

Professional Summary

Michael Earl Fauser, who also goes by Mike Earl Fauser, Mike Fauser, was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1996 - 2023. Michael had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Mike Earl Fauser, Mike Fauser

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

30 years in the financial services industry

Current & Past Employments

THE FAUSER GROUP, LLC·CRD# 282351
RIA
Mercer Island, WA
April 4, 2016 - December 31, 2023
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
RIA
Mercer Island, WA
July 13, 2004 - April 1, 2016
IDS LIFE INSURANCE COMPANY·CRD# 6321
BD
Minneapolis, MN
July 13, 2004 - July 3, 2006
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
BD
Mercer Island, WA
July 13, 2004 - April 1, 2016
LPL FINANCIAL LLC·CRD# 6413
RIA
San Diego, CA
July 25, 2003 - April 29, 2004
LPL FINANCIAL LLC·CRD# 6413
BD
Fort Mill, SC
June 25, 2002 - April 29, 2004
PIPER SANDLER & CO.·CRD# 665
BD
Minneapolis, MN
July 17, 2001 - July 12, 2002
WOODBURY FINANCIAL SERVICES, INC.·CRD# 421
BD
Oakdale, MN
January 12, 1996 - February 5, 1996

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Current Firm

TF
THE FAUSER GROUP, LLC

THE FAUSER GROUP, LLC | VELOCITY WEALTH MANAGEMENT, LLC

CRD#: 282351 / SEC#: 801-118322
RIA
Registered Investment Advisory firm - SEC (3/27/2020 Approved)
Texas
Registered Investment Advisory firm - Texas (3/31/2020 Terminated)
Washington
Registered Investment Advisory firm - Washington (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).

Contact Information

Main Address

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

Phone Number

(206) 466-2542

# of Employees

4

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (4/1/2026)

Regulatory Assets Under Management

Total Number of Accounts

870

AUM (Assets Under Management)

$314,476,354

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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;

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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".
TF
THE FAUSER GROUP, LLC

THE FAUSER GROUP, LLC | VELOCITY WEALTH MANAGEMENT, LLC

CRD#: 282351 / SEC#: 801-118322
RIA
Registered Investment Advisory firm - SEC (3/27/2020 Approved)
Texas
Registered Investment Advisory firm - Texas (3/31/2020 Terminated)
Washington
Registered Investment Advisory firm - Washington (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.
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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jul 2003About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 2001About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Apr 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jul 2001About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Dec 1995About the Series 6 exam

Series 24 — General Securities Principal Examination

Passed Jul 2002About the Series 24 exam

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CRS (Client Relationship Summary)

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

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