Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Bauer is a financial advisor with Fidelity Personal AND Workplace Advisors. Thomas has been in the financial services industry since 2013. Thomas is licensed to provide investment advice in Alabama, Colorado, Florida, Georgia, Illinois, Kentucky, Louisiana, Missouri, New Jersey, New York, Pennsylvania, Tennessee, Texas, Utah, Virginia, and Wisconsin. Thomas has a Series 6, 7, 63, 65, and 66 securities license. Thomas is a Certified Financial Planner. Thomas has experience working for Jackson National Life Distributors LLC and Fortune Financial Services, 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.
Comprehensive financial plans to help you achieve your personal and business goals.
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.
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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2
TN
04/21/2023 - Present
Fidelity Personal AND Workplace Advisors (FRANKLIN TN)
TN
07/08/2022 - 09/20/2022
JACKSON NATIONAL LIFE DISTRIBUTORS LLC (FRANKLIN TN)
TN
01/28/2021 - 06/22/2022
FORTUNE FINANCIAL SERVICES, INC. (Spring Hill TN)
CO
05/01/2013 - 01/14/2021
JACKSON NATIONAL LIFE DISTRIBUTORS LLC (DENVER CO)
BOTH
Issued 11/09/2022
Series 66 - Uniform Combined State Law Examination
IA
Issued 10/11/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/11/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/29/2014
Series 7 - General Securities Representative Examination
BC
Issued 04/29/2013
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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