Kelly Bauman is director of Compliance/OSJ for the Investment Center Advisor Group (ICA Group). In her role, she is responsible for providing guidance and supervision for regulatory matters and other risk issues impacting the advisors affiliated with ICA Group. Kelly held several positions with Investment Centers of America, SII Investments and National Planning Holdings (NPH), most recently as vice president of Supervision. In this capacity, she was head of supervision for all four of the NPH broker/dealers, overseeing a staff of more than 50 associates. She also served as head of Supervision for Cetera Advisors before joining Investment Center Advisor Group. Kelly earned her Bachelor of Business Administration from the University of Wisconsin – Oshkosh. She holds Series 7, 24 and 66 securities registrations held through LPL Financial. Kelly lives in Denver with her husband, Dave.  They are parents to three daughters, two sons and grandparents to Patrick!  The family loves to spend time together skiing, hiking and traveling.