Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas K Bauer is a financial professional with over 10 years of experience in the industry. Thomas is currently registered with MML Investors Services, LLC, where Thomas has been since September 2016. Prior to that, Thomas was registered with several other firms including MSI Financial Services, Inc., New England Securities, Tower Square Securities, Inc. and Walnut Street Securities, Inc.. Thomas is also a Series 24, Series 99TO, SIE, and Series 7 licensed professional. Thomas works with individuals, trusts, foundations and endowments, insurance companies, charitable organizations, high-net-worth individuals, corporations or other businesses and pension and profit-sharing plans.
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.
Asset allocation programs
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.
Solicitors fees
1
2
MA
09/14/2016 - Present
MML Investors Services, LLC (SPRINGFIELD MA)
NJ
11/02/2011 - 03/25/2017
MSI FINANCIAL SERVICES, INC. (SOMERSET NJ)
NJ
12/15/2011 - 01/02/2015
NEW ENGLAND SECURITIES (SOMERSET NJ)
NJ
12/15/2011 - 09/04/2013
TOWER SQUARE SECURITIES, INC. (SOMERSET NJ)
NJ
12/15/2011 - 09/04/2013
WALNUT STREET SECURITIES, INC. (SOMERSET NJ)
BC
Issued 11/03/2021
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/01/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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