Gerald R. 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.
Gerald Raymond Bauer was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1973. Gerald had worked at 20 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2014 - June 6, 2016
ON INVESTMENT MANAGEMENT CO
October 30, 2014 - June 2, 2016
THE O.N. EQUITY SALES COMPANY
May 30, 2013 - November 4, 2014
FINTEGRA, LLC
May 22, 2008 - February 1, 2010
COMPASS FINANCIAL ADVISORS LLC
May 16, 2008 - October 31, 2014
FINTEGRA, LLC
January 5, 2006 - May 20, 2008
QUESTAR ASSET MANAGEMENT, INC.
October 7, 2005 - May 20, 2008
QUESTAR CAPITAL CORPORATION
November 1, 2004 - November 4, 2005
PACIFIC WEST FINANCIAL CONSULTANTS INC
October 1, 2004 - November 4, 2005
PACIFIC WEST SECURITIES, INC.
January 13, 2004 - September 30, 2004
GROVE POINT INVESTMENTS, LLC
February 21, 2001 - June 21, 2002
QUICK & REILLY, INC.
January 5, 1998 - April 25, 2001
FIS SECURITIES, INC.
December 17, 1996 - November 4, 1997
FIS SECURITIES, INC.
June 27, 1994 - December 10, 1996
HSBC BROKERAGE (USA) INC.
September 22, 1989 - June 28, 1994
LINCOLN FINANCIAL DISTRIBUTORS, INC.
June 17, 1988 - September 29, 1989
INTEGRATED RESOURCES INVESTMENT CENTERS, INC.
September 19, 1986 - June 9, 1988
PAMCO SECURITIES AND INSURANCE SERVICES
April 11, 1983 - September 19, 1986
CONSOLIDATED INVESTMENT SERVICES, INC.
December 29, 1980 - April 27, 1983
HANIFEN, IMHOFF INC.
May 2, 1979 - January 10, 1981
DAIN RAUSCHER INCORPORATED
February 14, 1979 - May 2, 1979
WALL STREET WEST, INC.
April 23, 1973 - August 25, 1978
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Primary Firm SEC Registration
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
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 1
Date: 4/13/1973
Registered Representative ExaminationCurrent Firm
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,053 |
| AUM (Assets Under Management) | $ 2,376,953,646 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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