DB
Duane R. Bazis
BAZIS PRIVATE WEALTH
OMAHA, NE 68118
Some features on this profile are disabled
CRD#: 1369632
DB
Professional summary
Duane Robert Bazis JR, CPWA® is a registered financial advisor currently at BAZIS PRIVATE WEALTH, LLC located in Omaha, Nebraska.
Duane is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Duane has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
11/25/2013 - DUANE BAZIS, JR IS INDEPENDENTLY LICENSED AS AN INSURANCE AGENT AND SELLS INSURANCE PRODUCTS INCLUDING LIFE, HEALTH, LTC AND ANNUITIES; THIS ACTIVITY IS NOT INVESTMENT RELATED. ADDRESS IS 1065 N 115TH ST, OMAHA, NE 68154. DUANE RECEIVES COMMISSIONS WHEN DOING SO. HE SPENDS ABOUT ONE HOUR PER WEEK ON THIS ACTIVITY; ABOUT HALF OF THE TIME DURING SECURITIES HOURS.MR. BAZIS HAS BEEN A LICENSED INSURANCE AGENT FOR MORE THEN 30 YEARS.
DUANE ALSO SPENDS ABOUT ONE HOUR PER WEEK ON BAZIS GROUP WHICH IS A SOLE PROPRIETORSHIP SOLELY OWEND BY DUANE BAZIS. BAZIS GROUP LEASES EQUIPMENT TO OLIVE BRANCH EQUESTRIAN, LLC WHICH IS OWNED BY DUANE'S DAUGHTER.
CRS (Client Relationship Summary) - RIA
Click below to view Duane Robert Bazis JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CPWA®
Start date: 2021-05-05
Expire date: 2023-04-30
Experience
Current
February 4, 2009 - Present
BAZIS PRIVATE WEALTH, LLC
Office #1: 816 S. 169th Street, Omaha, NE 68118RIA
CRD#: 148605
OMAHA, NE
Past
February 2, 2009 - February 26, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
OMAHA, NE
Past
December 12, 2003 - February 5, 2009
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
OMAHA, NE
Past
December 5, 2003 - February 5, 2009
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
OMAHA, NE
Past
March 17, 2000 - December 17, 2003
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
OMAHA, NE
Past
October 1, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
October 1, 1999 - December 17, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
October 21, 1993 - October 4, 1999
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
June 5, 1992 - November 8, 1993
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
December 9, 1987 - June 9, 1992
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
June 20, 1985 - January 12, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
June 19, 1985 - July 15, 1985
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BP
BAZIS PRIVATE WEALTH, LLC
BAZIS & YOUNG INVESTMENT GROUP LLC | BAZIS YOUNG INVESTMENT GROUP, LLC | BAZIS PRIVATE WEALTH, LLC | BAZIS PRIVATE WEALTH
CRD#: 148605 / SEC#: 801-107200
RIA
Registered Investment Advisory firm - (1/27/2016 Approved)Iowa
Registered Investment Advisory firm - (1/28/2016 Terminated)Nebraska
Registered Investment Advisory firm - (1/28/2016 Terminated)Oklahoma
Registered Investment Advisory firm - (1/28/2016 Terminated)Texas
Registered Investment Advisory firm - (1/28/2016 Terminated)Virginia
Registered Investment Advisory firm - (1/29/2016 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Nebraska(2/6/2009)
IAR
Texas(4/3/2014)
IAR
Virginia(8/31/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 3/8/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BP
BAZIS PRIVATE WEALTH, LLC
BAZIS & YOUNG INVESTMENT GROUP LLC | BAZIS YOUNG INVESTMENT GROUP, LLC | BAZIS PRIVATE WEALTH, LLC | BAZIS PRIVATE WEALTH
CRD#: 148605 / SEC#: 801-107200
RIA
Registered Investment Advisory firm - (1/27/2016 Approved)Iowa
Registered Investment Advisory firm - (1/28/2016 Terminated)Nebraska
Registered Investment Advisory firm - (1/28/2016 Terminated)Oklahoma
Registered Investment Advisory firm - (1/28/2016 Terminated)Texas
Registered Investment Advisory firm - (1/28/2016 Terminated)Virginia
Registered Investment Advisory firm - (1/29/2016 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
816 S. 169th Street, Omaha, NE 68118
Mailing Address
Phone number
(402) 965-3334
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 493 |
| AUM (Assets Under Management) | $ 216,693,486 |
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.
Company Information
BAZIS PRIVATE WEALTH, LLC
CRD#: 148605Omaha, NE 68118TRUST BUT VERIFY
Monitor Duane Bazis
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
