Frank J. 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.
Frank John Bauer was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1991. Frank had worked at 5 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2007 - October 4, 2013
SICOR SECURITIES INC
December 2, 2003 - December 31, 2006
WRP INVESTMENTS, INC.
January 26, 2001 - December 11, 2003
MML INVESTORS SERVICES, LLC
June 7, 1993 - January 23, 2001
WS GRIFFITH SECURITIES, INC.
June 4, 1991 - June 7, 1993
VP DISTRIBUTORS 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
SICOR SECURITIES INC
CRD#: 16195 / SEC#: 801-31673, 8-33445
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Red Flags
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