Michael J. Baldauf

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CRD#: 6285080

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 John Baldauf, who also goes by Michael Baldauf, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2014. Michael had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Baldauf

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)

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

March 23, 2022 - November 3, 2025

CLINTON INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 143599

STAMFORD, CT

Past

January 5, 2015 - March 2, 2020

ALT FUND DISTRIBUTORS LLC

CRD#: 146547

New York, NY

Past

July 30, 2014 - December 31, 2014

MIDAMERICA FINANCIAL SERVICES, INC.

CRD#: 47351

New York, NY

Past

February 18, 2014 - July 9, 2014

EQUITABLE ADVISORS, LLC

CRD#: 6627

WOODBURY, NY

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".

CLINTON INVESTMENT MANAGEMENT, LLC

CRD#: 143599 / SEC#: 801-69342

RIA

Registered Investment Advisory firm - (6/26/2008 Approved)

Connecticut

Registered Investment Advisory firm - (6/26/2008 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 66

Date: 3/21/2014

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: 2/18/2014

General Securities Representative Examination

Current Firm

CLINTON INVESTMENT MANAGEMENT, LLC

CRD#: 143599 / SEC#: 801-69342

RIA

Registered Investment Advisory firm - (6/26/2008 Approved)

Connecticut

Registered Investment Advisory firm - (6/26/2008 Terminated)

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Contact information

Main Address

333 Ludlow Street South Tower 8th Floor, Stamford, CT, 06902

Mailing Address

Phone number

(203) 276-6246

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CLINTON INVESTMENT MANAGEMENT FORM ADV PART 2A BROCHURE MARCH 20, 2025 (3/20/2025)

Regulatory assets under management

Total Number of Accounts	1,846
AUM (Assets Under Management)	$ 3,531,162,064

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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Michael J. Baldauf

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CLINTON INVESTMENT MANAGEMENT, LLC

ALT FUND DISTRIBUTORS LLC

MIDAMERICA FINANCIAL SERVICES, INC.

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

CLINTON INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/21/2014

SIE

Date: 10/1/2018

Series 7

Date: 2/18/2014

Current Firm

CLINTON INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CLINTON INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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