Kevin G. 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.
Kevin Gary Bauer, who also goes by Kevin G Bauer, Kevin Gary Bauer, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1985. Kevin had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 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
May 10, 2019 - June 30, 2020
PURSHE KAPLAN STERLING INVESTMENTS
May 12, 2015 - May 28, 2019
WORLD EQUITY GROUP, INC.
June 1, 2005 - May 21, 2015
EQUITABLE ADVISORS, LLC
June 1, 2005 - May 21, 2015
EQUITABLE ADVISORS, LLC
May 13, 2002 - June 1, 2005
MONY SECURITIES CORPORATION
February 4, 2002 - December 2, 2003
TRUSTED SECURITIES ADVISORS CORP.
May 28, 1997 - January 4, 2021
TREK FINANCIAL
January 30, 1985 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
January 30, 1985 - June 1, 2005
MONY SECURITIES CORPORATION
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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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