John R. Bauchman
Professional summary
John Richard Bauchman, who also goes by Rick Bauchman, is a registered financial professional currently at COMMERCE STREET CAPITAL, LLC located in Dallas, Texas.
John is registered as a RR (Registered Representative) and started their career in finance in 1974. John has worked at 11 firms and has passed the Series 79TO, Series 7TO, Series 57TO, SIE, Series 55, Series 41, PC, Series 1, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Richard Bauchman's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 1, 2007 - Present
COMMERCE STREET CAPITAL, LLC
Office #1: 1445 Ross Ave. Suite 2700, Dallas, TX 75202October 17, 2005 - October 1, 2007
SAMCO CAPITAL MARKETS, INC.
February 3, 2003 - May 19, 2006
PENSON FINANCIAL SERVICES, INC.
December 2, 2002 - February 3, 2003
SERVICE ASSET MANAGEMENT COMPANY
March 2, 1998 - January 17, 2001
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
October 22, 1985 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
September 12, 1984 - October 8, 1985
HILLTOP SECURITIES INC.
September 24, 1979 - September 14, 1984
INSTITUTIONAL EQUITY CORPORATION
November 20, 1974 - October 24, 1979
ROTAN MOSLE INC.
June 21, 1974 - December 7, 1974
RAUSCHER PIERCE 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
(10/15/2007)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/26/2000
Limited Representative-Equity Trader ExamSeries 41
Date: 9/19/1981
NYSE Allied Member ExaminationPC
Date: 1/12/1979
AMEX Put and Call ExamSeries 1
Date: 6/18/1974
Registered Representative ExaminationSeries 8
Date: 4/16/1987
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
COMMERCE STREET CAPITAL, LLC
CRD#: 143797 / SEC#: , 8-67606
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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Company Information
COMMERCE STREET CAPITAL, LLC
CRD#: 143797Dallas, TX 75202TRUST BUT VERIFY
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