Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mimi? Claim Your ProfileMimi Elizabeth Bauer is a securities professional with over five years of experience in the financial industry. Mimi is a registered representative and investment advisor representative with Vanguard Marketing Corp. in Scottsdale, Arizona. Mimi holds Series 6, 7, 63, and 99 licenses and is also a Series 24 principal.
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
AZ
03/01/2018 - Present
Vanguard Marketing Corp. (SCOTTSDALE AZ)
BC
Issued 03/16/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/23/2023
Series 24 - General Securities Principal Examination
BC
Issued 08/04/2023
Series 99TO - Operations Professional Examination
BC
Issued 12/05/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/01/2018
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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