Brett E. 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.
Brett Eugene Bauer, who also goes by Bret Eugene Bauer, Brett E Bauer, was a registered financial advisor .
Brett is a previously registered financial advisor and started their career in finance in 1988. Brett had worked at 13 firms and has passed the Series 65, Series 63, Series 7, Series 6 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
July 23, 2010 - May 23, 2011
BROKERBANK SECURITIES, INC.
March 22, 2010 - June 11, 2010
CAPITALQUEST SECURITIES, INC.
February 11, 2009 - March 13, 2009
OAKBRIDGE FINANCIAL SERVICES
November 14, 2005 - February 10, 2009
WOODBURY FINANCIAL SERVICES, INC.
October 7, 2005 - February 10, 2009
WOODBURY FINANCIAL SERVICES, INC.
April 13, 2005 - October 11, 2005
ASSOCIATED FINANCIAL SERVICES, INC.
July 7, 2003 - April 14, 2005
ROUND HILL SECURITIES, INC.
July 29, 2002 - July 11, 2003
FIRST ALLIED SECURITIES, INC.
April 21, 1999 - August 8, 2002
RBC CAPITAL MARKETS, LLC
July 17, 1996 - April 19, 1999
METROPOLITAN LIFE INSURANCE COMPANY
July 17, 1996 - April 28, 1999
MSI FINANCIAL SERVICES, INC.
April 29, 1991 - October 5, 1993
METROPOLITAN LIFE INSURANCE COMPANY
April 29, 1991 - October 5, 1993
MSI FINANCIAL SERVICES, INC.
July 24, 1990 - August 15, 1990
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
March 18, 1989 - April 30, 1990
METROPOLITAN LIFE INSURANCE COMPANY
March 18, 1989 - April 30, 1990
MSI FINANCIAL SERVICES, INC.
November 25, 1988 - February 13, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 25, 1988 - February 13, 1989
EQUITABLE ADVISORS, LLC
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
Current Firm
BROKERBANK SECURITIES, INC.
CRD#: 130116 / SEC#: , 8-66310
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WRIGHT, PHILIP PAUL | CEO AND CHIEF COMPLIANCE OFFICER | 2453688 |
| COMMUNITYLEADER, INC. | C CORPORATION |
Disclosures
| Regulatory Event | 5 |
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.
