Deborah L. 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.
Deborah L Bauer, who also goes by Deborah Lynn Bauer, Deborah Bauer, Deborah Lynn Bauer Skiles, Deborah L Cornell, Deborah L Crow, Deborah Bauer Skiles, was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 1992. Deborah had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2014 - October 21, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 24, 2014 - October 21, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 24, 2010 - March 24, 2014
RAYMOND JAMES & ASSOCIATES, INC.
July 22, 2009 - March 24, 2014
RAYMOND JAMES & ASSOCIATES, INC.
August 24, 1992 - July 23, 2009
EDWARD JONES
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
