SB
Scott K. Bauer
CETERA INVESTMENT ADVISERS LLC
FARGO, ND 58103
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CRD#: 6713991
SB
Professional summary
Scott Kenneth Bauer is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Fargo, North Dakota and CETERA WEALTH SERVICES, LLC located in Fargo, North Dakota.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Scott has worked at 2 firms and has passed the Series 66, 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: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 11/2016 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 AND LONG TERM CARE (2) NAME OF OTHER BUSINESS: CRYSTAL PROPERTIES, LLP INVESTMENT RELATED: NO ADDRESS: 1101 MAIN AVENUE E BARNESVILLE, MN 56514 NATURE OF BUSINESS: REAL ESTATE START DATE: APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 1-2 BRIEF DESCRIPTION OF DUTIES: PARTNER - CO-OWNER (3) NAME OF OTHER BUSINESS: BAUER INVESTMENT SERVICES LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ADVISORY AND INVESTMENT SERVICES; START DATE: 07/2017; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: : ADVISORY AND INVESTMENT SERVICES; (4) NAME OF OTHER BUSINESS: CITY COUNCIL WARD 1 REPRESENTATIVE BARNESVILLE MN; INVESTMENT RELATED: NO; ADDRESS: 102 FRONT STREET N, BARNESVILLE, MN 56514; NATURE OF BUSINESS: CITY COUNCIL REPRESENTATIVE; START DATE: 01/2018; POSITION/TITLE/RELATIONSHIP: WARD 1 REPRESENTATIVE; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: ATTEND MEETINGS, PROVIDE INSIGHT AND VOTE ON PERSONNEL, BUDGET, AND ISSUES RELATIVE TO CITY; (5) NAME OF OTHER BUSINESS: LAKE REGION HEALTHCARE, INVESTMENT RELATED: NO, ADDRESS: 712 CASCADE STREET, FERGUS FALLS, MN, 56537, NATURE OF BUSINESS: NON-PROFIT, START DATE: 01/2020, POSITION/TITLE/RELATIONSHIP: BOARD MEMBER, APX NUMBER OF HOURS PER WEEK: .5, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: ASSIST WITH HIGH LEVEL BUSINESS DECISIONS (6) NAME OF OTHER BUSINESS: ADVISORNET FARGO ; INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE:01/2021 ; POSITION/TITLE/RELATIONSHIP: OWNER / FINANCIAL PROFESSIONAL ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: INVESTMENTS ; (7) NAME OF OTHER BUSINESS: ADVISORNET FINANCIAL ; INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 12/2020 ; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: DBA FOR INVESTMENTS BUSINESS ; (8) NAME OF OTHER BUSINESS: BAUER GEHRTZ FINANCIAL LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ENSEMBLE PRACTICE; START DATE: 09/2020 POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: OWNER;
CRS (Client Relationship Summary) - RIA
Click below to view Scott Kenneth 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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 808 3rd Ave S Ste 205, Fargo, ND 58103Office #2: 1701 4th Ave Ne Unit #1, Barnesville, MN 56514RIA
CRD#: 105644
FARGO, ND
Current
November 15, 2016 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 808 3rd Ave S Ste 205, Fargo, ND 58103Office #2: 1701 4th Ave Ne Unit #1, Barnesville, MN 56514BD
CRD#: 13572
Fargo, ND
Past
January 7, 2017 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
Fargo, ND
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(2/7/2017)
RR
Colorado(2/7/2017)
RR
Florida(3/31/2021)
RR
Hawaii(10/4/2018)
RR
Illinois(3/31/2021)
RR
Iowa(3/31/2021)
RR
Minnesota(12/27/2016)
IAR
Minnesota(6/29/2023)
RR
Montana(1/4/2024)
RR
Nebraska(1/4/2021)
RR
North Carolina(3/31/2021)
RR
North Dakota(12/27/2016)
IAR
North Dakota(6/29/2023)
RR
Pennsylvania(1/4/2023)
RR
South Dakota(2/7/2017)
RR
Tennessee(1/5/2021)
RR
Texas(7/3/2018)
IAR
Texas(6/29/2023)
RR
Virginia(1/4/2024)
RR
Washington(10/4/2018)
RR
Wisconsin(2/27/2017)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
