Unclaimed
Vicki Marie Bauer is a financial advisor with Missionsquare Retirement. Vicki has been in the industry since 2005 and is registered to provide investment advice in California and the District of Columbia. Vicki is a Certified Financial Planner and has passed the Series 7, Series 9, Series 10, Series 24, Series 31, and Series 63 exams. Vicki specializes in portfolio management for individuals and businesses. Prior to joining Missionsquare Retirement, Vicki has worked for various financial institutions including Northwestern Mutual Investment Services LLC, MetLife Securities Inc., Morgan Stanley DW Inc., and Duerr Financial Corporation.
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.
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.
A percentage of the total value of assets under management is charged.
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2
DC
04/12/2023 - Present
Missionsquare Retirement (WASHINGTON DC)
CA
01/26/2022 - 04/19/2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (LOS ANGELES CA)
CA
05/02/2013 - 07/13/2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (LOS ANGELES CA)
CA
03/30/2011 - 04/03/2013
METLIFE SECURITIES INC. (PASADENA CA)
CA
11/08/2010 - 03/24/2011
METLIFE SECURITIES INC. (LOS ANGELES CA)
CA
04/16/2007 - 05/20/2010
METLIFE SECURITIES INC. (ARCADIA CA)
CA
04/16/2007 - 07/09/2007
METROPOLITAN LIFE INSURANCE COMPANY (LOS ANGELES CA)
NY
04/19/2005 - 06/07/2006
MORGAN STANLEY DW INC. (PURCHASE NY)
CA
10/21/2002 - 06/15/2004
DUERR FINANCIAL CORPORATION (CHINO HILLS CA)
BC
Issued 05/23/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/16/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/16/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/24/2011
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/22/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 10/18/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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