Robert M. Bauer
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.
Robert Miller Bauer, who also goes by Bob Bauer, Gus M Bauer, Gus Bauer, Miller Bauer, R M Gus Bauer, Richard Bauer, Robert M Gus Bauer, Robert Miller (gus) Bauer, Bob Gus, R M Gus Miller, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1984. Robert had worked at 8 firms and has passed the Series 63, Series 3, Series 15, Series 5, Series 7, Series 24, Series 27, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 1994 - March 10, 1997
PRIMELINE SECURITIES CORP.
December 14, 1993 - November 3, 1994
ANDREW GARRETT INC.
October 4, 1993 - November 10, 1993
MOMENTUM INDEPENDENT NETWORK INC.
November 14, 1989 - October 18, 1993
RHODES SECURITIES, INC.
October 2, 1989 - November 28, 1989
PERKINS, SMART & BOYD, INC.
August 26, 1986 - October 4, 1989
FIRM ONE SECURITIES, INCORPORATED
January 2, 1986 - July 11, 1986
BOETTCHER & COMPANY, INC.
January 3, 1984 - November 27, 1985
UBS FINANCIAL SERVICES 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
Series 15
Date: 2/29/1984
Foreign Currency Options ExaminationSeries 5
Date: 2/29/1984
Interest Rate Options ExaminationCurrent Firm
PRIMELINE SECURITIES CORP.
CRD#: 15896 / SEC#: , 8-32899
Contact information
Documents
Red Flags
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