Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Bauer is a securities professional with over 20 years of experience in the industry. Scott is currently registered with Curvature Securities LLC. Prior to this, Scott worked at Xtellus Capital Partners, Inc., CLSA Americas, LLC, ATM Execution LLC, Cowen and Company, Nomura Securities International, Inc., ITG Inc., Labranche Financial Services, LLC, Jefferies Execution Services, Inc., Jefferies & Company, Inc., Goldman, Sachs & Co., and Morgan Stanley & Co., Incorporated.
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
NJ
02/24/2021 - Present
Curvature Securities LLC (Chatham NJ)
NY
09/02/2020 - 03/31/2021
XTELLUS CAPITAL PARTNERS, INC. (NEW YORK NY)
NY
07/07/2016 - 12/09/2019
CLSA AMERICAS, LLC (NEW YORK NY)
NY
10/24/2012 - 05/11/2016
ATM EXECUTION LLC (NEW YORK NY)
NY
10/22/2012 - 05/11/2016
COWEN AND COMPANY (NEW YORK NY)
NY
07/19/2010 - 10/05/2012
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
NY
10/03/2007 - 05/14/2010
ITG INC. (NEW YORK NY)
NY
06/22/2006 - 09/12/2007
LABRANCHE FINANCIAL SERVICES, LLC (NEW YORK NY)
NY
12/08/2005 - 06/12/2006
JEFFERIES EXECUTION SERVICES, INC. (NEW YORK NY)
NJ
02/27/2001 - 06/12/2006
JEFFERIES & COMPANY, INC. (JERSEY CITY NJ)
NY
05/24/2000 - 03/02/2001
GOLDMAN, SACHS & CO. (NEW YORK NY)
NY
04/03/2000 - 05/10/2000
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
BC
Issued 09/20/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/08/2021
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/03/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 03/31/2000
Series 7 - General Securities Representative Examination
Active
Inactive
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Cboe BYX Exchange, Inc.
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Cboe BZX Exchange, Inc.
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Cboe EDGA Exchange, Inc.
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Cboe EDGX Exchange, Inc.
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FINRA
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Investors' Exchange LLC
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MEMX LLC
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NYSE American LLC
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NYSE Arca, Inc.
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NYSE Chicago, Inc.
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NYSE National, Inc.
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Nasdaq BX, Inc.
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Nasdaq PHLX LLC
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Nasdaq Stock Market
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New York Stock Exchange
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