Stephen C. Bauer
Professional summary
Stephen Charles Bauer was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Stephen had worked at 17 firms, which includes MILLENNIUM SECURITIES CORP., FIRST SECURITY INVESTMENTS INC., SOUTHERN FINANCIAL GROUP INC., CAPTRUST SECURITIES CORPORATION, INVESTORS ASSOCIATES INC., JWGENESIS SECURITIES INC., ROYAL PALM INVESTMENTS LTD., BARRON CHASE SECURITIES INC., R.B. WEBSTER INVESTMENTS INC., FORESTERS FINANCIAL SERVICES INC., BA INVESTMENT SERVICES INC., BISCAYNE SECURITIES CORPORATION, J. T. MORAN & CO. INC., RLR SECURITIES GROUP INC., NOBLE CAPITAL MARKETS INC., BROWN & HAWK INC., ADVANTAGE CAPITAL CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 1997 - September 16, 1997
MILLENNIUM SECURITIES CORP.
October 25, 1996 - May 19, 1997
FIRST SECURITY INVESTMENTS, INC.
April 19, 1996 - October 22, 1996
SOUTHERN FINANCIAL GROUP, INC.
March 29, 1996 - April 19, 1996
CAPTRUST SECURITIES CORPORATION
December 4, 1995 - February 26, 1996
INVESTORS ASSOCIATES, INC.
February 21, 1995 - June 2, 1995
JWGENESIS SECURITIES, INC.
May 17, 1993 - December 31, 1994
ROYAL PALM INVESTMENTS, LTD.
November 11, 1991 - June 22, 1993
BARRON CHASE SECURITIES, INC.
April 3, 1991 - November 20, 1991
R.B. WEBSTER INVESTMENTS, INC.
June 1, 1990 - April 3, 1991
FORESTERS FINANCIAL SERVICES, INC.
October 24, 1989 - February 9, 1990
BA INVESTMENT SERVICES, INC.
January 15, 1988 - January 24, 1990
BISCAYNE SECURITIES CORPORATION
November 20, 1987 - February 11, 1988
J. T. MORAN & CO., INC.
October 1, 1985 - November 25, 1987
RLR SECURITIES GROUP, INC.
August 9, 1985 - October 10, 1985
NOBLE CAPITAL MARKETS, INC.
June 27, 1985 - August 9, 1985
BROWN & HAWK, INC.
December 19, 1984 - June 12, 1985
ADVANTAGE CAPITAL CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
MILLENNIUM SECURITIES CORP.
CRD#: 31695 / SEC#: , 8-45519
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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