Paul V. Bauers
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Paul Vernon Bauers, who also goes by Paul B Bauers, Paul V Bauers, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1983. Paul had worked at 4 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 1985 - December 31, 1990
MARINER FINANCIAL SERVICES, INC.
April 26, 1984 - August 16, 1984
E. F. HUTTON & COMPANY INC
January 19, 1984 - May 17, 1984
ILG SECURITIES CORPORATION
May 19, 1983 - November 4, 1983
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MARINER FINANCIAL SERVICES, INC.
CRD#: 8292 / SEC#: , 8-25216
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
