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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Douglas Bauer is an investment advisor representative with United Capital Financial Advisors. Stephen has been in the financial services industry for over 15 years and has a strong background in providing financial advice and investment management services to individuals and businesses. Stephen holds the Series 7 and Series 66 licenses, as well as the Series 31. Stephen has a Certified Financial Planner designation. Stephen has worked for several other firms in the past including Goldman Sachs & Co. LLC, Cetera Advisor Networks LLC, Girard Securities, Inc. Stephen is based in THE WOODLANDS, TX.
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.
Sub-adviser for other investment advisers
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.
A percentage of the total value of assets under management is charged.
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TX
12/05/2014 - Present
United Capital Financial Advisors (THE WOODLANDS TX)
TX
08/19/2022 - 11/14/2023
GOLDMAN SACHS & CO. LLC (THE WOODLANDS TX)
TX
11/01/2017 - 09/01/2020
CETERA ADVISOR NETWORKS LLC (THE WOODLANDS TX)
TX
12/05/2014 - 11/01/2017
GIRARD SECURITIES, INC. (THE WOODLANDS TX)
TX
04/26/2013 - 12/12/2014
AMERIPRISE FINANCIAL SERVICES, INC. (THE WOODLANDS TX)
TX
03/05/2008 - 04/29/2013
WELLS FARGO ADVISORS, LLC (THE WOODLANDS TX)
BOTH
Issued 03/14/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/30/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 03/04/2008
Series 7 - General Securities Representative Examination
Active
Inactive
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