JB
Jacob M. Bauer
KINGSVIEW WEALTH MANAGEMENT
Chicago, IL 60602
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CRD#: 7219221
JB
Professional summary
Jacob Matthew Bauer, who also goes by Jacob Matthew Bauer, Jacob Bauer, Jake Matthew Bauer, is a registered financial advisor currently at KINGSVIEW WEALTH MANAGEMENT, LLC located in Chicago, Illinois and FORESIDE FUND SERVICES, LLC located in Chicago, Illinois.
Jacob is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Jacob has worked at 2 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jacob Matthew Bauer | Jacob Bauer | Jake Matthew Bauer
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) Kingsview Wealth Management, LLC; Investment-Related; Chicago, IL; Wealth Management; Vice President, Advisor Strategy; Start 05/17/2021; 160hrs per month w 5hrs trading 2) ADP Total Source; Non-Investment Related; Roseland, NJ; 3rd Party HR Professional Employer Organization; 0hrs per month, 0 during trading hours
CRS (Client Relationship Summary) - RIA
Click below to view Jacob Matthew 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
July 10, 2020 - Present
KINGSVIEW WEALTH MANAGEMENT, LLC
Office #1: 33 N La Salle St Suite 2510, Chicago, IL 60602RIA
CRD#: 148107
Chicago, IL
Current
September 16, 2021 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 33 N. La Salle Street Suite 2510, Chicago, IL 60602BD
CRD#: 46106
Chicago, IL
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".
KW
KINGSVIEW WEALTH MANAGEMENT, LLC
KINGSVIEW ASSET MANAGEMENT | VERDEO FINANCIAL SERVICES | ROLLO WEALTH MANAGEMENT | PERLMAN GROUP | NORMAN J. POLITZINER, CFP & NJP ASSOCIATES | KNIGHT STRATEGIC WEALTH | KINGSVIEW WEALTH MANAGEMENT, LLC | KINGSVIEW PARTNERS WEALTH MANAGEMENT | KINGSVIEW PARTNERS | KINGSVIEW INVESTMENT STRATEGIES | KINGSVIEW INVESTMENT MANAGEMENT | KINGSVIEW ASSET MANAGEMENT, LLC
CRD#: 148107 / SEC#: 801-79198
RIA
Registered Investment Advisory firm - (2/24/2014 Approved)Arkansas
Registered Investment Advisory firm - (2/26/2014 Terminated)Florida
Registered Investment Advisory firm - (2/26/2014 Terminated)Illinois
Registered Investment Advisory firm - (2/26/2014 Terminated)Iowa
Registered Investment Advisory firm - (2/26/2014 Terminated)Minnesota
Registered Investment Advisory firm - (2/26/2014 Terminated)New York
Registered Investment Advisory firm - (11/8/2013 Cancelled)North Dakota
Registered Investment Advisory firm - (2/26/2014 Terminated)Oregon
Registered Investment Advisory firm - (2/26/2014 Terminated)South Dakota
Registered Investment Advisory firm - (2/26/2014 Terminated)Texas
Registered Investment Advisory firm - (2/26/2014 Terminated)Virginia
Registered Investment Advisory firm - (2/26/2014 Terminated)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(4/28/2025)
RR
California(1/3/2022)
RR
Colorado(1/3/2023)
RR
Connecticut(1/19/2022)
RR
Delaware(1/3/2022)
RR
Florida(1/3/2022)
RR
Georgia(1/3/2022)
IAR
Illinois(7/10/2020)
RR
Illinois(11/4/2021)
RR
Indiana(1/3/2022)
RR
Michigan(7/16/2024)
RR
Minnesota(1/2/2024)
RR
Montana(1/4/2023)
RR
New Jersey(1/3/2022)
RR
New Mexico(1/3/2022)
RR
New York(1/3/2022)
RR
North Carolina(1/3/2022)
RR
Ohio(1/3/2022)
RR
Oregon(1/3/2022)
RR
Pennsylvania(1/3/2022)
RR
South Carolina(1/3/2022)
RR
Tennessee(1/3/2022)
RR
Texas(1/3/2022)
RR
Virginia(9/13/2024)
RR
Washington(1/3/2022)
RR
West Virginia(1/3/2022)
RR
Wyoming(1/3/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/16/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KW
KINGSVIEW WEALTH MANAGEMENT, LLC
KINGSVIEW ASSET MANAGEMENT | VERDEO FINANCIAL SERVICES | ROLLO WEALTH MANAGEMENT | PERLMAN GROUP | NORMAN J. POLITZINER, CFP & NJP ASSOCIATES | KNIGHT STRATEGIC WEALTH | KINGSVIEW WEALTH MANAGEMENT, LLC | KINGSVIEW PARTNERS WEALTH MANAGEMENT | KINGSVIEW PARTNERS | KINGSVIEW INVESTMENT STRATEGIES | KINGSVIEW INVESTMENT MANAGEMENT | KINGSVIEW ASSET MANAGEMENT, LLC
CRD#: 148107 / SEC#: 801-79198
RIA
Registered Investment Advisory firm - (2/24/2014 Approved)Arkansas
Registered Investment Advisory firm - (2/26/2014 Terminated)Florida
Registered Investment Advisory firm - (2/26/2014 Terminated)Illinois
Registered Investment Advisory firm - (2/26/2014 Terminated)Iowa
Registered Investment Advisory firm - (2/26/2014 Terminated)Minnesota
Registered Investment Advisory firm - (2/26/2014 Terminated)New York
Registered Investment Advisory firm - (11/8/2013 Cancelled)North Dakota
Registered Investment Advisory firm - (2/26/2014 Terminated)Oregon
Registered Investment Advisory firm - (2/26/2014 Terminated)South Dakota
Registered Investment Advisory firm - (2/26/2014 Terminated)Texas
Registered Investment Advisory firm - (2/26/2014 Terminated)Virginia
Registered Investment Advisory firm - (2/26/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
509 Se 7th Street 2nd Floor, Grants Pass, OR 97526
Mailing Address
Phone number
(312) 870-6701
Established
Firm type
Fiscal year end
# of Employees
225
SEC notice filing (47 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 24,847 |
| AUM (Assets Under Management) | $ 6,745,495,357 |
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.
