John L. Bauer
Professional summary
John Leonard Bauer was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, John had worked at 8 firms, which includes LLOYD WADE SECURITIES INC., CASTLE SECURITIES CORP., L.B. SAKS INC., TOLUCA PACIFIC SECURITIES CORP., A.S. GOLDMEN & CO. INC., FIRST ALLIED SECURITIES INC., GKN SECURITIES CORP., CORTLANDT CAPITAL CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 1997 - March 2, 1999
LLOYD WADE SECURITIES INC.
May 8, 1997 - August 21, 1997
CASTLE SECURITIES CORP.
October 8, 1996 - June 6, 1997
L.B. SAKS, INC.
July 12, 1996 - October 15, 1996
TOLUCA PACIFIC SECURITIES CORP.
May 3, 1995 - May 11, 1996
A.S. GOLDMEN & CO., INC.
May 31, 1994 - September 2, 1994
FIRST ALLIED SECURITIES, INC.
April 25, 1994 - May 5, 1994
GKN SECURITIES CORP.
March 3, 1994 - April 11, 1994
A.S. GOLDMEN & CO., INC.
December 2, 1993 - February 2, 1994
CORTLANDT CAPITAL CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
LLOYD WADE SECURITIES INC.
CRD#: 39653 / SEC#: , 8-48781
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 9 |
| Arbitration | 6 |
Red Flags
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