Kelly L. Bauerle

EASTERLY SECURITIES LLC

Beverly, MA 01915

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CRD#: 4591672

Professional summary

Kelly Lynn Bayes Bauerle, who also goes by Kelly Lynn Bayes, is a registered financial professional currently at EASTERLY SECURITIES LLC located in Beverly, Massachusetts.

Kelly is registered as a RR (Registered Representative) and started their career in finance in 2002. Kelly has worked at 11 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kelly Lynn Bayes

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) - BD

Click below to view Kelly Lynn Bayes Bauerle'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

November 4, 2024 - Present

EASTERLY SECURITIES LLC

Office #1: 138 Conant Street Suite 100, Beverly, MA 01915

CRD#: 281103

Beverly, MA

Past

February 10, 2022 - March 26, 2024

EASTERLY FUNDS LLC

RIA

CRD#: 281785

Centennial, CO

Past

November 30, 2016 - May 5, 2017

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

CENTENNIAL, CO

Past

August 16, 2016 - December 31, 2021

EASTERLY FUNDS LLC

RIA

CRD#: 281785

Centennial, CO

Past

September 14, 2015 - February 13, 2024

FDX CAPITAL LLC

CRD#: 119302

Greenwood Village, CO

Past

June 23, 2011 - October 14, 2016

ASCENT INVESTMENT ADVISORS, LLC

RIA

CRD#: 147277

GREENWOOD VILLAGE, CO

Past

June 13, 2011 - September 14, 2015

ALT FUND DISTRIBUTORS LLC

CRD#: 146547

NEW YORK, NY

Past

December 11, 2009 - June 8, 2011

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

February 16, 2009 - September 16, 2009

OLD MUTUAL CAPITAL

RIA

CRD#: 131405

DENVER, CO

Past

June 29, 2005 - September 16, 2009

OLD MUTUAL INVESTMENT PARTNERS

CRD#: 44916

DENVER, CO

Past

December 17, 2002 - July 13, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

MIDVALE, UT

Past

December 6, 2002 - July 13, 2004

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

December 6, 2002 - July 13, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(11/4/2024)

Alaska
(11/4/2024)

Arizona
(11/4/2024)

Arkansas
(11/4/2024)

California
(11/4/2024)

Colorado
(11/4/2024)

Connecticut
(11/4/2024)

Delaware
(11/4/2024)

District of Columbia
(11/4/2024)

Florida
(11/4/2024)

Georgia
(11/4/2024)

Hawaii
(11/4/2024)

Idaho
(11/4/2024)

Illinois
(11/4/2024)

Indiana
(11/4/2024)

Iowa
(11/4/2024)

Kansas
(11/4/2024)

Kentucky
(11/4/2024)

Louisiana
(11/4/2024)

Maine
(11/4/2024)

Maryland
(11/4/2024)

Massachusetts
(11/4/2024)

Michigan
(11/4/2024)

Minnesota
(11/4/2024)

Mississippi
(11/4/2024)

Missouri
(11/4/2024)

Montana
(11/4/2024)

Nebraska
(11/4/2024)

Nevada
(11/4/2024)

New Hampshire
(11/4/2024)

New Jersey
(11/4/2024)

New Mexico
(11/4/2024)

New York
(11/4/2024)

North Carolina
(11/4/2024)

North Dakota
(11/4/2024)

Ohio
(11/4/2024)

Oklahoma
(11/4/2024)

Oregon
(11/4/2024)

Pennsylvania
(11/4/2024)

Rhode Island
(11/4/2024)

South Carolina
(11/4/2024)

South Dakota
(11/4/2024)

Tennessee
(11/4/2024)

Texas
(11/4/2024)

Utah
(11/4/2024)

Vermont
(11/4/2024)

Virginia
(11/4/2024)

Washington
(11/4/2024)

West Virginia
(11/4/2024)

Wisconsin
(11/4/2024)

Wyoming
(11/4/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 2/12/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/5/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/5/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

EASTERLY SECURITIES LLC

EASTERLY SECURITIES LLC | EASTERLY SECURITIES, LLC

CRD#: 281103 / SEC#: , 8-69661

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

138 Conant Street Suite 100, Beverly, MA 01915

Mailing Address

138 Conant Street Suite 100, Beverly, MA 01915

Phone number

(617) 231-4300

Established

Delaware since 07/06/2015

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
EASTERLY ASSET MANAGEMENT OPERATIONS LLC	SOLE AND MANAGING MEMBER
JULIANO JR, PHILIP L	CHIEF EXECUTIVE OFFICER	4781008
JUSTER, KENNETH G	CHIEF LEGAL OFFICER	4788250
MONTAGUE, MICHAEL	CHIEF FINANCIAL OFFICER	5121305
SMITH, ELIZABETH ANNE	FINOP	1960549
SOMERS, DAVID MICHAEL II	CHIEF COMPLIANCE OFFICER	4413478

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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Kelly L. Bauerle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kelly Lynn Bayes Bauerle's CRS (Customer Relationship Summary).

Certified licenses

Experience

EASTERLY FUNDS LLC

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

EASTERLY FUNDS LLC

FDX CAPITAL LLC

ASCENT INVESTMENT ADVISORS, LLC

ALT FUND DISTRIBUTORS LLC

TRANSAMERICA CAPITAL, LLC

OLD MUTUAL CAPITAL

OLD MUTUAL INVESTMENT PARTNERS

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/12/2009

SIE

Date: 10/1/2018

Series 7

Date: 12/5/2002

Series 24

Date: 6/5/2007

FINRA

Current Firm

EASTERLY SECURITIES LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

EASTERLY SECURITIES LLC

TRUST BUT VERIFY

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