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KENNETH ALAN BAUMAN
CRD#: 2514380
IA
B
WEST MICHIGAN ADVISORSCRD#: 312073 301 HOOVER BLVD.
SUITE 300
HOLLAND, MI 49423
SUITE 300
HOLLAND, MI 49423
LEVEL FOUR FINANCIAL, LLCCRD#: 25700 301 HOOVER BLVD.
SUITE 300
Holland, MI 49423
SUITE 300
Holland, MI 49423
0
Disclosures
30
Years of Experience
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State Registrations
B
Arizona 9/20/2024
B
Michigan 11/14/2022
B
California 11/14/2022
B
Ohio 9/20/2024
B
Florida 11/14/2022
B
Texas 11/14/2022
B
Georgia 11/14/2022
B
Washington 11/14/2022
IA
Michigan 7/23/2021
SRO Registrations
B
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IA
Registered with this firm since 7/23/2021
B
Registered with this firm since 11/14/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/02/2021 - 11/17/2022 | Holland, MI | |
IA | 09/24/2010 - 07/07/2021 | GRAND RAPIDS, MI | |
B | 01/01/2008 - 07/07/2021 | GRAND RAPIDS, MI | |
B | 01/03/2003 - 01/03/2008 | GRAND RAPIDS, MI | |
B | 09/16/1994 - 01/10/2003 | MILWAUKEE, WI |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.