John F. 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.
John Francis Bauer was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1998. John had worked at 3 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2014 - July 26, 2019
JOURNEY ADVISORY GROUP, LLC
January 5, 2005 - December 17, 2014
PENNINGTON FINANCIAL GROUP
February 18, 1999 - November 29, 2004
PENNINGTON FINANCIAL GROUP
December 10, 1998 - October 27, 2004
OSAIC WEALTH, INC.
Primary Firm SEC Registration
JOURNEY ADVISORY GROUP, LLC
CRD#: 171919 / SEC#: 801-79934
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
JOURNEY ADVISORY GROUP, LLC
CRD#: 171919 / SEC#: 801-79934
Contact information
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,004 |
| AUM (Assets Under Management) | $ 1,473,333,518 |
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.
