Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ozzie? Claim Your ProfileOzzie Bauer is a registered investment advisor with UBS Financial Services Inc. in Houston, Texas. Ozzie has been in the financial services industry since 1975. Ozzie has held previous roles at firms including Citigroup Global Markets Inc., Rotan Mosle Inc., E. F. Hutton & Company Inc, Bache Halsey Stuart Shields Incorporated, Bache Halsey Stuart Inc., Bache & Co Incorporated, and Bache & Co., Incorporated. Ozzie is licensed to provide investment advice in 18 states and has passed multiple securities industry examinations. Ozzie's specialties include retirement planning, investment management, and financial planning.
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.
See schedule d - miscellaneous
1
2
TX
04/21/2009 - Present
UBS Financial Services Inc. (HOUSTON TX)
TX
08/30/1988 - 04/27/2009
CITIGROUP GLOBAL MARKETS INC. (HOUSTON TX)
NA
04/30/1985 - 09/15/1988
ROTAN MOSLE INC.
NA
06/02/1980 - 05/06/1985
E. F. HUTTON & COMPANY INC
NA
09/16/1977 - 07/02/1980
BACHE HALSEY STUART SHIELDS INCORPORATED
NA
08/27/1976 - 09/16/1977
BACHE HALSEY STUART INC.
NA
02/27/1976 - 08/27/1976
BACHE & CO INCORPORATED
NA
06/25/1975 - 02/27/1976
BACHE & CO., INCORPORATED
BC
Issued 12/04/1996
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 09/18/1995
Series 65 - Uniform Investment Adviser Law Examination
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 06/18/1997
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/02/1995
Series 24 - General Securities Principal Examination
BC
Issued 08/26/1983
Series 4 - Registered Options Principal Examination
BC
Issued 11/20/1982
Series 12 - NYSE Branch Manager Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/05/1981
Series 5 - Interest Rate Options Examination
BC
Issued 06/13/1977
PC - AMEX Put and Call Exam
BC
Issued 06/21/1975
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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