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Rudolph Joseph Bauer

BNY Mellon Securities Corp.

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About Rudolph Joseph Bauer

Rudolph Bauer is a financial professional with over 25 years of experience in the securities industry. Rudolph has been with BNY Mellon Securities Corp. since September 2000. Before that, Rudolph was a registered representative with Royce Investment Group, Inc. Rudolph has a wide range of experience and holds several licenses including Series 7, Series 24, Series 63, Series 99 and SIE. Rudolph is also registered in all 50 states and the District of Columbia. Rudolph specializes in portfolio management for individuals and businesses.

Firm Information

Rudolph Bauer is currently registered with BNY Mellon Securities Corp.. BNY Mellon Securities Corp. is a Corporation formed in January 1968 and headquartered in NEW YORK, NY. The firm sponsors a wrap fee program and serves as a portfolio manager or model provider to third party wrap program sponsors. They manage approximately $6,124,034,792 in client assets, primarily for individuals, corporations, and other investment advisors. The firm is registered with the SEC and in all 50 states.
BNY Mellon Securities Corp.

240 GREENWICH STREET

NEW YORK, NY 10286-0001

$6.12B

Assets Under Management

Not reported

Total Clients

326

Total Financial Advisors

Services Offered

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.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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bnymsc sponsors a wrap fee program, and serves as a portfolio mgr or model provider to third party wrap program sponsors.

Bnymsc sponsors a wrap fee program, and serves as a portfolio mgr or model provider to third party wrap program sponsors.

Fee Structure

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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percentage of assets

A percentage of the total value of assets under management is charged.

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Rudolph Bauer’s Registration & Firm History

NY

09/07/2000 - Present

BNY Mellon Securities Corp. (UNIONDALE NY)

NY

08/21/1997 - 10/19/1998

ROYCE INVESTMENT GROUP, INC. (WOODBURY NY)

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Licenses & Designations

BC

Issued 09/09/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/02/2001

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/20/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Rudolph Joseph Bauer.
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