Kelly Bauman is a registered investment advisor at LPL Financial LLC, based in Denver, CO, with 21 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
2000 S Colorado Blvd, Annex Building Ste 315, Denver, CO, 80222
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Kelly is doing business as Investment Center Advisor Group since 2017, but spends no time on it. Kelly is also involved with ICA Group Holding Co., LLC for tax/investment purposes, dedicating about 10-20% of her time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
LPL Financial LLC
Ica Group Wealth Management, LLC
LPL Financial LLC
Summit Brokerage Services, INC.Broker
Cetera Advisors LLC
Cetera Advisors LLCBroker
National Planning CorporationBroker
National Planning Corporation ("npc of America" in Fl & Ny)
Invest Financial CorporationBroker
Investment Centers of America, INC.
Sii Investments, INC.
Investment Centers of America, INC.Broker
Sii Investments, INC.Broker
Copeland Equities, INC.Broker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.