Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Richard Bauchman has been in the financial services industry since May 16, 1976. John is currently registered with Commerce Street Capital, LLC in Dallas, Texas. Previously, John was associated with Samco Capital Markets, Inc., Penson Financial Services, Inc., Service Asset Management Company, Dain Rauscher Incorporated, Rotan Mosle Inc., and Rauscher Pierce Securities Corporation.
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.
1
2
TX
10/01/2007 - Present
Commerce Street Capital, LLC (DALLAS TX)
TX
10/17/2005 - 10/01/2007
SAMCO CAPITAL MARKETS, INC. (DALLAS TX)
TX
02/03/2003 - 05/19/2006
PENSON FINANCIAL SERVICES, INC. (DALLAS TX)
TX
12/02/2002 - 02/03/2003
SERVICE ASSET MANAGEMENT COMPANY (AUSTIN TX)
NY
03/02/1998 - 01/17/2001
DAIN RAUSCHER INCORPORATED (NEW YORK NY)
NA
01/02/1998 - 03/02/1998
DAIN RAUSCHER INCORPORATED
TX
10/22/1985 - 01/02/1998
RAUSCHER PIERCE REFSNES, INC. (DALLAS TX)
NA
09/12/1984 - 10/08/1985
SOUTHWEST SECURITIES, INC.
NA
09/24/1979 - 09/14/1984
INSTITUTIONAL EQUITY CORPORATION
NA
11/20/1974 - 10/24/1979
ROTAN MOSLE INC.
NA
06/21/1974 - 12/07/1974
RAUSCHER PIERCE SECURITIES CORPORATION
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/16/1987
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/26/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/19/1981
Series 41 - NYSE Allied Member Examination
BC
Issued 01/12/1979
PC - AMEX Put and Call Exam
BC
Issued 06/18/1974
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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