Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen James Bauer is a financial advisor at Charles Schwab & Co., Inc. Stephen has been in the industry since February 2024 and is licensed to provide financial services in all 50 states. Stephen is a General Securities Representative and has passed the Series 7TO and SIE exams. Stephen is also a Registered Representative and has passed the Uniform Securities Agent State Law Examination (Series 63).
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
CO
03/01/2024 - Present
Charles Schwab & CO., Inc. (Lone Tree CO)
BC
Issued 03/18/2024
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/01/2024
Series 7TO - General Securities Representative Examination
BC
Issued 12/29/2023
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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