Garrett D. Bauer
Professional summary
Garrett Drew Bauer was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Garrett is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Garrett had worked at 4 firms, which includes LIGHTHOUSE FINANCIAL GROUP LLC, JAG TRADING L.L.C., G-2 TRADINGLLC, BOSTON PARTNERS SECURITIES L.L.C..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2009 - August 20, 2010
LIGHTHOUSE FINANCIAL GROUP, LLC
September 4, 2008 - March 30, 2010
JAG TRADING L.L.C.
April 21, 2006 - September 19, 2008
G-2 TRADING,LLC
December 4, 1992 - January 3, 1995
BOSTON PARTNERS SECURITIES, L.L.C.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LIGHTHOUSE FINANCIAL GROUP, LLC
CRD#: 103734 / SEC#: , 8-52215
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LIGHTHOUSE GLOBAL PARTNERS, LLC | ORDINARY MEMBER/ HOLDING COMPANY | |
| BRADLEY, ROBERT JOHN | MANAGING MEMBER/ CHIEF OPERATING OFFICER/ ROSFP | 2713446 |
| CAPPELLO, JOHN ANTHONY | TRADING ROOM SUPERVISOR | 1296142 |
| DIACO, JOSEPH DAVID | PRINCIPAL | 2170059 |
| GUTSHALL, MICHAEL SEELEY | CHIEF COMPLIANCE OFFICER | 2505395 |
| KRILL, RICHARD EDWARD | FINOP | 3190120 |
| LAGREGO, CHRISTOPHER JOHN | MANAGING MEMBER/ CRO | 1995755 |
| MORFIT, JEFFREY JAMES | MANAGING MEMBER/ CHIEF EXECUTIVE OFFICER | 1819249 |
| WEINSTEIN, ROBERT HARRIS | SENIOR MANAGING DIRECTOR | 2274018 |
| YOUSSEF, HATIM ABDEL-HAMID | ROFSP | 2709055 |
Red Flags
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