Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen David Bauer is a registered representative with Apex Clearing Corp. in Austin, Texas. Stephen has been in the securities industry since 2007. Stephen has passed numerous securities exams including Series 66, 63, 24, 4, 10, 9, 57TO, SIE, 55, 87 and 7. Stephen is also registered with the states of Illinois and Texas. Stephen's previous experience includes a role with CHARLES SCHWAB & CO., INC.
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
TX
05/23/2023 - Present
Apex Clearing Corp. (Austin TX)
TX
07/20/2007 - 05/19/2023
CHARLES SCHWAB & CO., INC. (Austin TX)
BOTH
Issued 01/09/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/11/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/10/2020
Series 24 - General Securities Principal Examination
BC
Issued 02/13/2015
Series 4 - Registered Options Principal Examination
BC
Issued 03/30/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/22/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/02/2015
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/10/2013
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 07/19/2007
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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