Jeffrey F. Bauer

LPL ENTERPRISE

SHELTON, CT 06484

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CRD#: 2816653

Professional summary

Jeffrey Frederick Bauer, who also goes by Jeffrey Bauer, Jeff Bauer, Jeffrey F Bauer, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Shelton, Connecticut.

Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Jeffrey has worked at 17 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jeffrey Bauer | Jeff Bauer | Jeffrey F Bauer

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) 07/08/2025-Prudential Sponsored Non-Variable Insurance-Non-Variable Insurance/Insurance Agency-Inv related-At reported business location(s)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Frederick Bauer's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey Frederick Bauer's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 1 Corporate Drive Suite 205, Shelton, CT 06484

RIA

CRD#: 8733

SHELTON, CT

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 1 Corporate Drive Suite 205, Shelton, CT 06484

RIA

CRD#: 8733

SHELTON, CT

Past

February 17, 2022 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

SHELTON, CT

Past

February 17, 2022 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

SHELTON, CT

Past

March 23, 2021 - October 29, 2021

WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.

RIA

CRD#: 226535

BRISTOL, CT

Past

April 7, 2016 - December 10, 2020

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Fairfield, CT

Past

April 7, 2016 - December 10, 2020

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Fairfield, CT

Past

May 4, 2015 - April 12, 2016

PATRICK CAPITAL MARKETS, LLC

CRD#: 16518

TRABUCO CANYON, CA

Past

April 5, 2012 - November 10, 2014

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA

CRD#: 106494

NEW YORK, NY

Past

April 5, 2012 - November 10, 2014

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

WINDSOR, CT

Past

September 14, 2010 - December 6, 2011

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805

CHICAGO, IL

Past

February 28, 2008 - September 15, 2010

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.

CRD#: 144464

DENVER, CO

Past

May 14, 2007 - February 28, 2008

ALPS DISTRIBUTORS, INC.

CRD#: 16853

DENVER, CO

Past

March 21, 2007 - September 13, 2010

CLEARARC CAPITAL, INC.

RIA

CRD#: 104650

CINCINNATI, OH

Past

November 30, 2006 - May 11, 2007

FORESIDE DISTRIBUTION SERVICES, L.P.

CRD#: 15634

PORTLAND, ME

Past

December 15, 2005 - September 6, 2006

CLEARBRIDGE INVESTMENTS, LLC

RIA

CRD#: 137028

NEW YORK, NY

Past

December 1, 2005 - September 6, 2006

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

STAMFORD, CT

Past

January 26, 2004 - December 16, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

STAMFORD, CT

Past

January 26, 2004 - December 1, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 17, 1999 - May 27, 2003

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

NEW YORK, NY

Past

December 11, 1996 - March 2, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(11/14/2024)

IAR

Connecticut
(11/14/2024)

Georgia
(9/9/2025)

Kansas
(11/14/2024)

Massachusetts
(11/14/2024)

New Jersey
(9/9/2025)

New York
(11/14/2024)

Pennsylvania
(11/14/2024)

Rhode Island
(11/14/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/24/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/16/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/10/1996

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORRISON, STEVEN PHILIP	SECRETARY	4529345
SHEEHAN, RICHARD STEVEN	SVP, CHIEF COMPLIANCE OFFICER	3096567

Regulatory assets under management

Total Number of Accounts	114,002
AUM (Assets Under Management)	$ 18,862,098,900

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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.

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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jeffrey F. Bauer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Frederick Bauer's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey Frederick Bauer's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

PATRICK CAPITAL MARKETS, LLC

VOYA INVESTMENT MANAGEMENT CO. LLC

VOYA INVESTMENTS DISTRIBUTOR, LLC

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.

ALPS DISTRIBUTORS, INC.

CLEARARC CAPITAL, INC.

FORESIDE DISTRIBUTION SERVICES, L.P.

CLEARBRIDGE INVESTMENTS, LLC

FRANKLIN DISTRIBUTORS, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

BLACKROCK INVESTMENTS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/24/1996

Series 63

Date: 12/16/1996

SIE

Date: 10/1/2018

Series 7

Date: 12/10/1996

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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