Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Bauer is a financial professional with experience in the securities industry. Brian is currently registered with Vanguard Marketing Corp. and holds a Series 7TO, Series 63, and SIE. Brian was previously registered with Equitable Advisors, LLC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NC
02/06/2023 - Present
Vanguard Marketing Corp. (CHARLOTTE NC)
NC
09/26/2022 - 11/23/2022
EQUITABLE ADVISORS, LLC (CHARLOTTE NC)
BC
Issued 10/26/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/26/2022
Series 7TO - General Securities Representative Examination
BC
Issued 07/13/2022
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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