Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Gregory Bauer is a financial advisor with over 25 years of experience in the financial services industry. Joseph has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2009. Before joining Merrill Lynch, Joseph worked at Citigroup Global Markets Inc., Morgan Stanley DW Inc., and H.J. Meyers & Co., Inc. Joseph is a Series 7, 9, 10, 24, 31, 63, and 65 licensed advisor and holds licenses to provide investment advice in many states. He is dedicated to helping clients achieve their financial goals. Joseph specializes in providing investment advice to individuals, corporations, charitable organizations, insurance companies, pension and profit-sharing plans, and state or municipal government entities.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NJ
05/13/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ISELIN NJ)
NJ
09/10/2004 - 01/29/2009
CITIGROUP GLOBAL MARKETS INC. (RED BANK NJ)
NY
06/17/1997 - 09/16/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
06/20/1995 - 05/06/1997
H.J. MEYERS & CO., INC. (ROCHESTER NY)
IA
Issued 06/02/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/18/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/04/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/04/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/26/1997
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/02/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 06/19/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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