David J. Bauer

CASSILLY FINANCIAL

Severna Park, MD 21146

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CRD#: 7300919

Professional summary

David Jakob Bauer, who also goes by Dave Bauer, is a registered financial advisor currently at CASSILLY FINANCIAL located in Severna Park, Maryland.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. David has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dave 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Jakob Bauer'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

October 29, 2024 - Present

CASSILLY FINANCIAL

Office #1: 572 Baltimore Annapolis Blvd, Severna Park, MD 21146

RIA

CRD#: 300672

Severna Park, MD

Past

March 12, 2021 - June 9, 2021

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

BALTIMORE, MD

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".

CASSILLY FINANCIAL

CASSILLY FINANCIAL | CASSILLY FINANCIAL GROUP, LLC

CRD#: 300672 / SEC#: 801-132612

RIA

Registered Investment Advisory firm - (4/30/2025 Approved)

Florida

Registered Investment Advisory firm - (5/13/2025 Terminated)

Maryland

Registered Investment Advisory firm - (6/13/2025 Terminated)

Texas

Registered Investment Advisory firm - (5/13/2025 Terminated)

Virginia

Registered Investment Advisory firm - (5/20/2025 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Maryland
(10/29/2024)

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

Series 63

Date: 4/2/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/12/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 11/23/2020

Securities Industry Essentials Examination

Current Firm

CASSILLY FINANCIAL

CASSILLY FINANCIAL | CASSILLY FINANCIAL GROUP, LLC

CRD#: 300672 / SEC#: 801-132612

RIA

Registered Investment Advisory firm - (4/30/2025 Approved)

Florida

Registered Investment Advisory firm - (5/13/2025 Terminated)

Maryland

Registered Investment Advisory firm - (6/13/2025 Terminated)

Texas

Registered Investment Advisory firm - (5/13/2025 Terminated)

Virginia

Registered Investment Advisory firm - (5/20/2025 Terminated)

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Contact information

Main Address

572 Baltimore Annapolis Blvd, Severna Park, MD 21146

Mailing Address

Phone number

(410) 793-5210

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CASSILLY FINANCIAL ADV BROCHURE (8/25/2025)

Regulatory assets under management

Total Number of Accounts	643
AUM (Assets Under Management)	$ 103,156,687

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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David J. Bauer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Jakob Bauer's CRS (Customer Relationship Summary).

Certified licenses

Experience

CASSILLY FINANCIAL

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

CASSILLY FINANCIAL

State Registrations and Notice Filings

Exams

Series 63

Date: 4/2/2021

Series 7TO

Date: 3/12/2021

SIE

Date: 11/23/2020

Current Firm

CASSILLY FINANCIAL

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CASSILLY FINANCIAL

TRUST BUT VERIFY

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