Annette M. Bau

ESTATE & RETIREMENT STRATEGIES LLC

Tempe, AZ 85283

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CRD#: 1895794

Professional summary

Annette Marion Bau, CFP® is a registered financial advisor currently at ESTATE & RETIREMENT STRATEGIES LLC located in Tempe, Arizona.

Annette is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Annette has worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 24 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.

ALL ADDRESSES: 2233 W BASELINE RD STE 103 TEMPE, AZ 85283 ESTATE &RETIREMENT,STRATEGIES, LLC, INSURANCE SERVICES AGENCY, MANAGING MEMBER EFF: 1/1/96, 10% ANNETTE M. BAU, SOLE PROPRIETOR, INSURANCE AGENT/OWNER, EFF: 7/29/88, 70%ESTATE & RETIREMENT STRATEGIES, LLC, INVESTMENT RELATED, INVESTMENT ADV SERVICES, MEMBER/ MANAGING MEMBER, EFF:1/1/96, <5% PNC MP RENTAL, LLC; CDS BVC 1604, LLC; PNC GR MT, LLC, AJK PR, LLC, AND PNC CONDO, LLC; MANAGER & MEMBER OWNS FAMILY ASSETS, REAL ESTATE, PERSONAL INVESTMENTS AND RENTALS EFF:2/8/05 , < 30% MILLIONAIRESERIES.COM AND VARIOUS DBAS WITHIN MILLIONAIRESERIES.COM EDUCATIONAL, SELF IMPROVEMENT, FINANCIAL FREEDOM, AND MARKETING RELATED COURSES AND CONSULTING FEES AND COMMISSIONS ARE PAID TO MILLIONAIRESERIES.COM EFF: 11/2005

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Annette Marion Bau'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®

CFP^®

Certified Financial Planner

Start date: 1994

Experience

Current

August 14, 2002 - Present

ESTATE & RETIREMENT STRATEGIES LLC

Office #1: 2233 W Baseline Rd Ste 103, Tempe, AZ 85283

RIA

CRD#: 117134

Tempe, AZ

Past

January 4, 1996 - December 31, 2006

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

PHOENIX, AZ

Past

November 6, 1991 - December 31, 1995

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

March 12, 1990 - October 1, 1991

CINCINNATI ANALYSTS, INC.

CRD#: 5478

CINCINNATI, OH

Past

June 20, 1989 - March 26, 1990

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

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

Arizona
(8/14/2002)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/18/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/3/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/17/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/14/1996

General Securities Principal Examination

Current Firm

ESTATE & RETIREMENT STRATEGIES LLC

ESTATE & RETIREMENT STRATEGIES | ESTATE & RETIREMENT STRATEGIES LLC

CRD#: 117134 / SEC#:

Arizona

Registered Investment Advisory firm - (1/10/1997 Approved)

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Contact information

Main Address

2233 W Baseline Rd Ste 103, Tempe, AZ 85283

Mailing Address

Po Box 13728, Tempe, AZ 85284

Phone number

(602) 956-7171

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	19
AUM (Assets Under Management)	$ 1,751,397

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.

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Annette M. Bau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Annette Marion Bau's CRS (Customer Relationship Summary).

Certified licenses

Experience

ESTATE & RETIREMENT STRATEGIES LLC

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CETERA WEALTH SERVICES, LLC

CINCINNATI ANALYSTS, INC.

VP DISTRIBUTORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/18/1999

Series 63

Date: 7/3/1989

Series 7

Date: 6/17/1989

Series 24

Date: 2/14/1996

Current Firm

ESTATE & RETIREMENT STRATEGIES LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ESTATE & RETIREMENT STRATEGIES LLC

TRUST BUT VERIFY

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