Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Bauer is a securities professional with over 16 years of experience in the financial services industry. David has a strong track record of success in various roles at leading financial institutions including Goldman, Sachs & Co., Morgan Stanley & Co., Incorporated, Citigroup Global Markets Inc., J.P. Morgan Securities LLC, Credit Suisse Securities (USA) LLC, William O'Neil Securities, and Tradition Securities AND Derivatives LLC. David is a Series 3, 7, 24, 55, 63, and SIE licensed professional and is registered with the Financial Industry Regulatory Authority (FINRA). David is currently registered in Colorado, Connecticut, Florida, Illinois, Massachusetts, New Jersey, New York, Oklahoma, and Pennsylvania.
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
NY
07/29/2024 - Present
Tradition Securities AND Derivatives LLC (New York NY)
NY
04/05/2023 - 07/29/2024
WILLIAM O'NEIL SECURITIES (NEW YORK NY)
NY
04/26/2016 - 09/13/2017
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
01/13/2012 - 04/29/2016
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
05/11/2005 - 06/14/2007
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
04/23/2004 - 04/27/2005
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NY
08/18/1997 - 04/30/2004
GOLDMAN, SACHS & CO. (NEW YORK NY)
BC
Issued 03/28/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/16/2016
Series 24 - General Securities Principal Examination
BC
Issued 09/13/2017
SIE - Securities Industry Essentials Examination
BC
Issued 02/02/2012
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 01/12/2012
Series 7 - General Securities Representative Examination
BC
Issued 09/08/1997
Series 3 - National Commodity Futures Examination
Active
Inactive
B
BOX Exchange LLC
F
FINRA
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
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