Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Bauer is a financial advisor who has been in the financial industry since June 6, 2012. William is a registered representative with Commonwealth Financial Network. William has been associated with Commonwealth Financial Network since September 1, 2016. Prior to joining Commonwealth Financial Network, William was associated with RAYMOND JAMES FINANCIAL SERVICES, INC., AMERICAN EXPRESS FINANCIAL ADVISORS INC., IDS LIFE INSURANCE COMPANY and ELAN INVESTMENT SERVICES, INC.. William is registered to sell securities in the state of California.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
09/01/2016 - Present
Commonwealth Financial Network (SAN DIEGO CA)
FL
05/06/2008 - 06/24/2011
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST PETERSBURG FL)
NA
02/02/1990 - 09/27/1990
AMERICAN EXPRESS FINANCIAL ADVISORS INC.
NA
02/02/1990 - 09/27/1990
IDS LIFE INSURANCE COMPANY
NA
08/22/1989 - 03/05/1990
ELAN INVESTMENT SERVICES, INC.
BOTH
Issued 08/03/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/24/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/20/2019
Series 4 - Registered Options Principal Examination
BC
Issued 02/22/2019
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/21/2017
Series 24 - General Securities Principal Examination
BC
Issued 01/25/2019
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/05/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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