Andrea W. 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.
Andrea Watkins Bauer, who also goes by Andrea Fassler, Andrea W. Hunter, Andrea Watkins Hunter, Andrea Watkins, was a registered financial professional .
Andrea is a previously registered financial professional and started their career in finance in 2000. Andrea had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2019 - June 30, 2020
PURSHE KAPLAN STERLING INVESTMENTS
May 7, 2015 - May 28, 2019
WORLD EQUITY GROUP, INC.
June 1, 2005 - May 8, 2015
EQUITABLE ADVISORS, LLC
June 1, 2005 - May 8, 2015
EQUITABLE ADVISORS, LLC
August 16, 2004 - January 19, 2022
TREK FINANCIAL
December 2, 2003 - June 1, 2005
MONY SECURITIES CORPORATION
December 2, 2003 - June 1, 2005
MONY SECURITIES CORPORATION
July 30, 2003 - December 2, 2003
TRUSTED SECURITIES ADVISORS CORP.
March 5, 2003 - December 2, 2003
TRUSTED SECURITIES ADVISORS CORP.
September 22, 2000 - February 21, 2003
FIRST WESTERN ADVISORS
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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
