Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephanie? Claim Your ProfileStephanie Bauer is a financial advisor with over 10 years of experience in the financial services industry. Stephanie currently works with Merrill Lynch, Pierce, Fenner & Smith Inc. in their Tacoma, WA branch office. Stephanie has a strong background in providing financial advice to a wide range of clients, including individuals, businesses, and institutions. Stephanie has also held previous positions with Commonwealth Financial Network, Altegris Investments, LLC, and Wells Fargo Clearing Services, LLC.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
WA
10/10/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (TACOMA WA)
WA
08/03/2020 - 03/02/2023
COMMONWEALTH FINANCIAL NETWORK (Gig Harbor WA)
CA
05/08/2017 - 05/30/2019
ALTEGRIS INVESTMENTS, LLC (LA JOLLA CA)
CA
11/14/2012 - 05/01/2017
WELLS FARGO CLEARING SERVICES, LLC (SAN FRANCISCO CA)
BOTH
Issued 03/11/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/23/2018
Series 3 - National Commodity Futures Examination
BC
Issued 11/13/2012
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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