Jeffrey T. 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.
Jeffrey Thomas Bauer, who also goes by Jeffrey Thomas Bauer Mr, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1996. Jeffrey had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2020 - August 8, 2022
ADAPTIVE INVESTMENTS
January 5, 2015 - September 11, 2020
PAYCHEX SECURITIES CORPORATION
November 4, 2013 - August 26, 2014
CUSO FINANCIAL SERVICES, L.P.
November 4, 2013 - August 26, 2014
CUSO FINANCIAL SERVICES, L.P.
July 29, 2013 - November 4, 2013
EDWARD JONES
June 11, 2013 - November 4, 2013
EDWARD JONES
December 3, 2012 - May 6, 2013
HARTFORD FUNDS DISTRIBUTORS, LLC
February 9, 2010 - December 3, 2012
GLOBAL ATLANTIC DISTRIBUTORS, LLC
July 2, 2009 - September 1, 2009
NATIONWIDE SECURITIES, LLC
October 10, 2000 - December 4, 2008
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
August 26, 1999 - June 30, 2000
EQUITABLE DISTRIBUTORS, LLC
July 15, 1997 - July 20, 1999
COREBRIDGE CAPITAL SERVICES, INC.
September 16, 1996 - July 15, 1997
SUNAMERICA SECURITIES, INC.
Primary Firm SEC Registration
ADAPTIVE INVESTMENTS
CRD#: 281201 / SEC#: 801-106545
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
ADAPTIVE INVESTMENTS
CRD#: 281201 / SEC#: 801-106545
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6 |
| AUM (Assets Under Management) | $ 361,600,304 |
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.
