Nicholas C. Bauer

OPEROSE ADVISORS LLC

Milwaukee, WI 53202

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CRD#: 3099440

Professional summary

Nicholas Charles Bauer is a registered financial advisor currently at OPEROSE ADVISORS LLC located in Milwaukee, Wisconsin.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Nicholas has worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 24 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 Nicholas Charles Bauer'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

June 5, 2017 - Present

OPEROSE ADVISORS LLC

Office #1: 731 North Water Street Suite 790, Milwaukee, WI 53202

RIA

CRD#: 287465

Milwaukee, WI

Past

August 3, 2015 - January 12, 2017

JANUS HENDERSON INVESTORS

RIA

CRD#: 107300

CHICAGO, IL

Past

June 3, 2010 - January 24, 2017

GENEVA CAPITAL MANAGEMENT LLC

RIA

CRD#: 105432

MILWAUKEE, WI

Past

January 29, 2010 - May 14, 2010

JOHNSON WEALTH INC.

RIA

CRD#: 125557

MILWAUKEE, WI

Past

September 16, 2009 - May 14, 2010

CLEARY GULL INC.

RIA

CRD#: 45309

MILWAUKEE, WI

Past

December 17, 2008 - December 17, 2008

CLEARY GULL INC.

RIA

CRD#: 45309

MILWAUKEE, WI

Past

December 17, 2008 - May 14, 2010

CLEARY GULL INC.

CRD#: 45309

MILWAUKEE, WI

Past

May 24, 2005 - November 20, 2008

ZIEGLER CAPITAL MANAGEMENT, LLC

RIA

CRD#: 135622

MILWAUKEE, WI

Past

April 12, 2005 - November 20, 2008

B. C. ZIEGLER AND COMPANY

RIA

CRD#: 61

MILWAUKEE, WI

Past

April 12, 2005 - November 20, 2008

B. C. ZIEGLER AND COMPANY

CRD#: 61

MILWAUKEE, WI

Past

January 5, 2004 - April 15, 2005

WOLF FINANCIAL MANAGEMENT, LLC

RIA

CRD#: 44225

OAK BROOK, IL

Past

September 4, 2003 - April 15, 2005

WOLF FINANCIAL MANAGEMENT, LLC

CRD#: 44225

OAKBROOK TERRACE, IL

Past

January 20, 2003 - September 4, 2003

BNY CLEARING SERVICES LLC

CRD#: 15879

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".

OPEROSE ADVISORS LLC

OPEROSE ADVISORS LLC | OPEROSE PARTNERS LLC

CRD#: 287465 / SEC#: 801-118313

RIA

Registered Investment Advisory firm - (3/30/2020 Approved)

Texas

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

Wisconsin

Registered Investment Advisory firm - (3/31/2020 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.

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

Texas
(7/26/2017)

IAR

Wisconsin
(6/5/2017)

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: 11/10/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/30/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/17/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/18/2004

General Securities Principal Examination

Current Firm

OPEROSE ADVISORS LLC

OPEROSE ADVISORS LLC | OPEROSE PARTNERS LLC

CRD#: 287465 / SEC#: 801-118313

RIA

Registered Investment Advisory firm - (3/30/2020 Approved)

Texas

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

Wisconsin

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

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Contact information

Main Address

731 North Water Street Suite 790, Milwaukee, WI 53202

Mailing Address

Phone number

(414) 209-3280

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OPEROSE ADVISORS FORM ADV PART 2A 2023-06-23 (3/20/2025)

Regulatory assets under management

Total Number of Accounts	1,418
AUM (Assets Under Management)	$ 1,929,495,968

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/25/2024	Cover Page	Report

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

Nicholas C. Bauer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Charles Bauer's CRS (Customer Relationship Summary).

Certified licenses

Experience

JANUS HENDERSON INVESTORS

GENEVA CAPITAL MANAGEMENT LLC

JOHNSON WEALTH INC.

CLEARY GULL INC.

CLEARY GULL INC.

CLEARY GULL INC.

ZIEGLER CAPITAL MANAGEMENT, LLC

B. C. ZIEGLER AND COMPANY

B. C. ZIEGLER AND COMPANY

WOLF FINANCIAL MANAGEMENT, LLC

WOLF FINANCIAL MANAGEMENT, LLC

BNY CLEARING SERVICES LLC

Primary Firm SEC Registration

OPEROSE ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/10/2003

Series 63

Date: 6/30/2003

Series 7

Date: 1/17/2003

Series 24

Date: 2/18/2004

Current Firm

OPEROSE ADVISORS LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

OPEROSE ADVISORS LLC

TRUST BUT VERIFY

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