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GB

Gary H. Bauer

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CRD#: 14903
GB

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.

Gary Harold Bauer, who also goes by Gary H Bauer, Harold Garrison Bauer Jr, Harold Gary Bauer, was a registered financial professional .

Gary is a previously registered financial professional and started their career in finance in 1969. Gary had worked at 9 firms and has passed the Series 1 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gary H Bauer | Harold Garrison Bauer Jr | Harold Gary Bauer

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 24, 2006 - June 19, 2007

NEWPORT COAST SECURITIES, INC.

BD
CRD#: 16944
NEWPORT BEACH, CA
Past

January 7, 2000 - December 31, 2005

LEGACY FINANCIAL SERVICES, INC.

BD
CRD#: 38697
PETALUMA, CA
Past

January 7, 1999 - March 14, 2000

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

April 10, 1989 - December 4, 1998

AMERICAN INVESTORS COMPANY

BD
CRD#: 38
SAN RAMON, CA
Past

May 18, 1983 - April 21, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

BD
CRD#: 6403
Past

November 13, 1980 - June 6, 1983

MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED

BD
CRD#: 595
Past

February 24, 1978 - December 14, 1980

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

May 16, 1973 - February 24, 1978

DEAN WITTER & CO. INCORPORATED

BD
CRD#: 6466
Past

March 14, 1969 - May 16, 1973

DEAN WITTER & CO. INCORPORATED

BD
CRD#: 209

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 1
Date: 3/6/1969
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/28/1983
General Securities Principal Examination

Current Firm

NC
NEWPORT COAST SECURITIES, INC.
GRANT BETTINGEN, INC. | NEWPORT COAST SECURITIES, INC. | NEWPORT COAST SECURITIES | NEWPORT COAST ASSET MANAGEMENT

CRD#: 16944 / SEC#: 801-67802, 8-34790

BD
Terminated by SEC on 10/02/2016
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Contact information

Main Address
1720 Garry Ave. #108, Santa Ana, CA 92705
Mailing Address
Phone number
Established
California since 03/06/1985
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

PART 2A (3/18/2016)

Direct owners and executive officers

NamePositionCRD#
RUBICON FINANCIAL INCORPORATEDOWNER
KESSLER, KRISTOPHER CHARLESCOO4543640
LEE, KEVIN CHONGCHIEF COMPLIANCE OFFICER3143283
ONESTO, RICHARD ERNESTFINOP/CFO2453096
ONESTO, RICHARD ERNESTCEO2453096

Disclosures

Regulatory Event12
Arbitration7

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

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

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