Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joshua? Claim Your ProfileJoshua Bauer is a financial advisor with Stifel, Nicolaus & Company, Inc. Joshua is registered in 20 states and holds the Series 63, Series 50, Series 52TO and SIE licenses.
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.
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.
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.
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2
CA
11/08/2021 - Present
Stifel, Nicolaus & Company, Inc. (LOS ANGELES CA)
BC
Issued 12/29/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/11/2022
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 11/06/2021
Series 52TO - Municipal Securities Representative Examination
BC
Issued 08/22/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
New York Stock Exchange
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