Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jeffrey? Claim Your ProfileJeffrey Bauer is a financial advisor with LPL Enterprise, LLC. Jeffrey has been a registered representative in the securities industry since 1996 and holds both Series 7 and Series 63 licenses. Jeffrey is also a registered Investment Advisor Representative in the state of Connecticut. Prior to joining LPL Enterprise, LLC, Jeffrey worked at Charles Schwab & Co., Inc. and Patrick Capital Markets, LLC. Jeffrey offers a wide range of financial services, including financial planning, portfolio management for individuals and businesses, educational seminars, and consulting.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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CT
11/14/2024 - Present
LPL Enterprise, LLC (SHELTON CT)
CT
04/07/2016 - 12/10/2020
CHARLES SCHWAB & CO., INC. (Fairfield CT)
CA
05/04/2015 - 04/12/2016
PATRICK CAPITAL MARKETS, LLC (TRABUCO CANYON CA)
CT
04/05/2012 - 11/10/2014
VOYA INVESTMENTS DISTRIBUTOR, LLC (WINDSOR CT)
IL
09/14/2010 - 12/06/2011
GUGGENHEIM FUNDS DISTRIBUTORS, INC. (CHICAGO IL)
CO
02/28/2008 - 09/15/2010
FTAM FUNDS DISTRIBUTOR, INC. (DENVER CO)
CO
05/14/2007 - 02/28/2008
ALPS DISTRIBUTORS, INC. (DENVER CO)
ME
11/30/2006 - 05/11/2007
BISYS FUND SERVICES LIMITED PARTNERSHIP (PORTLAND ME)
CT
12/01/2005 - 09/06/2006
LEGG MASON INVESTOR SERVICES, LLC (STAMFORD CT)
NY
01/26/2004 - 12/01/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
03/17/1999 - 05/27/2003
BLACKROCK INVESTMENTS, INC. (NEW YORK NY)
NY
12/11/1996 - 03/02/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 12/24/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/16/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/10/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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