Vicki M. Bauer
Professional summary
Vicki Marie Bauer, CFP® is a registered financial advisor currently at MISSIONSQUARE RETIREMENT located in Duarte, California and MISSIONSQUARE INVESTMENT SERVICES located in Washington, District Of Columbia.
Vicki is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Vicki has worked at 7 firms and has passed the Series 63, SIE, Series 31, Series 7, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Vicki Marie Bauer's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 5, 2022 - Present
MISSIONSQUARE RETIREMENT
July 5, 2022 - Present
MISSIONSQUARE INVESTMENT SERVICES
Office #1: 777 North Capitol Street, Ne Suite 600, Washington, DC 20002-4240January 26, 2022 - April 19, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 2, 2013 - July 13, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 30, 2011 - April 3, 2013
MSI FINANCIAL SERVICES, INC.
November 8, 2010 - March 24, 2011
MSI FINANCIAL SERVICES, INC.
May 30, 2007 - May 20, 2010
MSI FINANCIAL SERVICES, INC.
April 16, 2007 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
April 16, 2007 - May 20, 2010
MSI FINANCIAL SERVICES, INC.
April 19, 2005 - June 7, 2006
MORGAN STANLEY DW INC.
April 12, 2005 - June 7, 2006
MORGAN STANLEY DW INC.
October 21, 2002 - June 15, 2004
DFC INVESTOR SERVICES
Primary Firm SEC Registration
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/5/2022)
(7/5/2022)
(3/1/2023)
(4/12/2023)
(7/22/2022)
(7/22/2022)
(7/22/2022)
(7/22/2022)
Exams
FINRA
Current Firm
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 58,580 |
| AUM (Assets Under Management) | $ 5,959,398,729 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
Red Flags
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