KB
Kevin J. Bauer
FINANCIAL MANAGEMENT STRATEGIES
Broadview Hts., OH 44147
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CRD#: 3122249
KB
Professional summary
Kevin James Bauer is a registered financial advisor currently at FINANCIAL MANAGEMENT STRATEGIES, INC. located in Broadview Hts., Ohio and CETERA INVESTMENT ADVISERS LLC located in Akron, Ohio.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Kevin has worked at 5 firms and has passed the 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.
(1) NAME OF OTHER BUSINESS: FINANCIAL MANAGEMENT STRATEGIES, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM THAT PROVIDES PORTFOLIO MANAGEMENT, FINANCIAL PLANNING, ESTATE PLANNING, AND ADDITIONAL ADVISORY SERVICES. POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE START DATE: 10/2017 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVISORY REPRESENTATIVE (2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 10/2017 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE (3) NAME OF OTHER BUSINESS: RENTAL PROPERTY ; INVESTMENT RELATED: NO ; ADDRESS: 2858 CHIPPENDALE DR, HUDSON OH 44236 ; NATURE OF BUSINESS: RENTAL PROPERTY ; START DATE: 11/2014 ; POSITION/TITLE/RELATIONSHIP: OWNER ; APX NUMBER OF HOURS PER WEEK: 5 ; APX NUMBER OF HOURS DURING TRADING HOURS: 5 ; BRIEF DESCRIPTION OF DUTIES: CONTACT PERSON FOR INQUIRIES, BOOKINGS, SERVICE, ETC ; (4) NAME OF OTHER BUSINESS: FINANCIAL MANAGEMENT STRATEGIES, INC. INVESTMENT RELATED: YES ADDRESS: 9050 SWEET VALLEY DR, VALLEY VIEW, OH 44125 NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 10/2017 POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE APX NUMBER OF HOURS PER WEEK: 30 APX NUMBER OF HOURS DURING TRADING HOURS: 30 BRIEF DESCRIPTION OF DUTIES: REGISTERED REPRESENTATIVE (5) NAME OF OTHER BUSINESS: AKRON CHILDRENS HOSPITAL FOUNDATION; INVESTMENT RELATED: NO; ADDRESS: ONE PERKINS SQUARE AKRON OH 44308; NATURE OF BUSINESS: NON PROFIT; START DATE: 3/2021; POSITION/TITLE/RELATIONSHIP: VOLUNTEER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: PARTICIPATE IN VARIOUS FUND RAISING ACTIVITIES THROUGHOUT YEAR.; (6) NAME OF OTHER BUSINESS: VISION WEALTH MANAGEMENT ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 04/2021 ; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSSIONAL ; APX NUMBER OF HOURS PER WEEK: 30 ; APX NUMBER OF HOURS DURING TRADING HOURS: 30 ; BRIEF DESCRIPTION OF DUTIES: DBA NAME FOR SECURITIES AND INSURANCE ; (7) NAME OF OTHER BUSINESS: THE KIWANIS CLUB OF HUDSON/HUDSON KIWANIS FOUNDATION; INVESTMENT RELATED: NO; ADDRESS: P O COX 554 HUDSON, OH 44236; NATURE OF BUSINESS: FUNDRAISING; START DATE: 02/2022; POSITION/TITLE/RELATIONSHIP: VOLUNTEER/.MEMBER; APX NUMBER OF HOURS PER WEEK: 2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 2 ; BRIEF DESCRIPTION OF DUTIES: PARTICIPATE IN 4X4X48 GOGGINS CHALLENGE, PROMOTE PARTICIPATION VIA FB AND GOFUNDME FOR DONATIONS;
CRS (Client Relationship Summary) - RIA
Click below to view Kevin James Bauer's 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®
NoneExperience
Current
October 20, 2017 - Present
FINANCIAL MANAGEMENT STRATEGIES, INC.
Office #1: 9200 South Hills Blvd. Suite 310, Broadview Hts., OH 44147RIA
CRD#: 120818
Broadview Hts., OH
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3200 W Market St Ste 300, Akron, OH 44333Office #2: 7730 Ravenna Road Extension Apt. #3, Hudson, OH 44236RIA
CRD#: 105644
AKRON, OH
Current
October 19, 2017 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3200 W Market St Ste 300, Akron, OH 44333BD
CRD#: 13572
Akron, OH
Past
December 5, 2017 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
BROADVIEW HEIGHTS, OH
Past
February 15, 2002 - October 23, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
HUDSON, OH
Past
January 12, 1999 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
January 12, 1999 - October 23, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
HUDSON, OH
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.RR
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
RR
Arizona(1/11/2024)
RR
Maryland(2/24/2025)
RR
Minnesota(12/5/2023)
RR
New York(5/3/2022)
RR
Ohio(10/20/2017)
IAR
Ohio(10/20/2017)
RR
Pennsylvania(10/19/2017)
RR
South Carolina(7/31/2020)
RR
Texas(7/31/2020)
IAR
Texas(1/6/2021)
IAR
Texas(6/29/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
