Gregory T. Bauer
Professional summary
Gregory Terrance Bauer, who also goes by Greg Terrance Bauer, is a registered financial professional currently at EATON VANCE DISTRIBUTORS, INC. located in Minneapolis, Minnesota.
Gregory is registered as a RR (Registered Representative) and started their career in finance in 1999. Gregory has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gregory Terrance Bauer's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 24, 2015 - Present
EATON VANCE DISTRIBUTORS, INC.
Office #1: 3600 Minnesota Drive Suite 200, Minneapolis, MN 55435September 1, 2000 - March 4, 2002
HEARTLAND SECURITIES CORP.
January 1, 1999 - August 30, 2000
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/19/2016)
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(1/5/2016)
(4/15/2020)
(1/6/2021)
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(4/15/2020)
(1/20/2016)
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Exams
Series 55
Date: 10/30/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
EATON VANCE DISTRIBUTORS, INC.
CRD#: 37731 / SEC#: , 8-47939
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | SHAREHOLDER | |
| FAMIGLIETTI, FRANK J | DIRECTOR | 2702269 |
| KASETA, LYNN M | CHIEF COMPLIANCE OFFICER | 6451373 |
| KUSH, ANTHONY N | PRINCIPAL FINANCIAL OFFICER, AND, FINANCIAL AND OPERATIONS PRINCIPAL OFFICER | 7463692 |
| LEFEVRE, BENJAMIN WILLIAM | TEXAS DESIGNATED PRINCIPAL | 2261749 |
| LEIMENSTOLL, ANDREW JOHN | DIRECTOR | 4640636 |
| MICHAUD, DAVID ANDREW | DIRECTOR | 2730645 |
| RANDALL, RONALD ALLAN | PRINCIPAL OPERATIONS OFFICER | 2946509 |
| WITKOS, MATTHEW JOSEPH | PRESIDENT, CEO, AND DIRECTOR | 2034689 |
Red Flags
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