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Michelle Bauer

USA Financial Securities LLC
25 Years of Experience
Neenah, WI
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Michelle Bauer is a registered investment advisor at USA Financial Securities LLC, based in Neenah, WI, with 25 years of industry experience. Michelle is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Insurance Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 1,246 clients with $300M in assets under management.

USA Financial Securities LLC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
140 advisors
Number of Clients
1,246 clients
Average Client Portfolio
$238K average
Assets Under Management
$296.5M

Fee Structure

Minimum Investment:$15K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.70%

Maximum management fee is 2.7%. Actual fees are negotiated between the client and representative.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

938 West Cecil Street, Neenah, WI, 54956

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2011
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Michelle owns Council Tree Financial, LLC, offering annuities, long-term care, health, Medicare, life insurance, and funeral trusts since 2006, dedicating minimal time during trading hours. She is also a public notary, verifying signatures on documents.

Employment History
Current Registrations
USA Financial Securities LLCBroker
September 2010 - Present · 16 yrs 1 mo
USA Financial Securities LLC
September 2010 - Present · 16 yrs 1 mo
Previous Registrations
Packerland Brokerage Services, INC.
May 2009 - September 2010 · 1 yr 4 mos
Packerland Brokerage Services, INC.Broker
May 2009 - September 2010 · 1 yr 4 mos
Next Financial Group, INC.Broker
September 2006 - June 2009 · 2 yrs 9 mos
Next Financial Group, INC.
September 2006 - June 2009 · 2 yrs 9 mos
Investors Capital Advisory
May 2006 - September 2006 · 4 mos
Investors Capital CORP.Broker
December 2001 - September 2006 · 4 yrs 9 mos
United Securities Alliance, INC.Broker
May 2001 - October 2001 · 5 mos
State Registrations12 states
ALAZCACOFLGAILMINMORPAWI
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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