Stephen D. Bauer

UNITED CAPITAL FINANCIAL ADVISORS

THE WOODLANDS, TX 77380

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CRD#: 5477953

Professional summary

Stephen Douglas Bauer, CFP®, who also goes by Stephen D Bauer, is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in The Woodlands, Texas.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Stephen has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen D 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Douglas 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®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Current

December 5, 2014 - Present

UNITED CAPITAL FINANCIAL ADVISORS

Office #1: 1450 Lake Robbins Drive Suite 400, The Woodlands, TX 77380

RIA

CRD#: 134600

THE WOODLANDS, TX

Past

August 19, 2022 - November 14, 2023

GOLDMAN SACHS & CO. LLC

CRD#: 361

THE WOODLANDS, TX

Past

November 1, 2017 - September 1, 2020

CETERA WEALTH SERVICES, LLC

CRD#: 13572

THE WOODLANDS, TX

Past

December 5, 2014 - November 1, 2017

GIRARD SECURITIES, INC.

CRD#: 18697

THE WOODLANDS, TX

Past

April 26, 2013 - December 12, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

THE WOODLANDS, TX

Past

April 26, 2013 - December 12, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

THE WOODLANDS, TX

Past

March 17, 2008 - April 29, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

THE WOODLANDS, TX

Past

March 5, 2008 - April 29, 2013

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

THE WOODLANDS, TX

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".

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Louisiana
(5/30/2019)

IAR

Texas
(12/5/2014)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/14/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 10/30/2009

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/4/2008

General Securities Representative Examination

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

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Contact information

Main Address

125 E John Carpenter Frwy Suite 1300, Irving, TX 75062

Mailing Address

Phone number

(972) 822-2055

Established

Firm type

Fiscal year end

# of Employees

271

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UNITED CAPITAL FINANCIAL ADVISORS WRAP FEE PROGRAM BROCHURE (3/28/2025)

UNITED CAPITAL FINANCIAL ADVISORS ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	41,738
AUM (Assets Under Management)	$ 17,211,052,120

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/01/2024	Cover Page	Report
10/30/2023	Cover Page	Report
01/26/2023	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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Stephen D. Bauer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Douglas Bauer's CRS (Customer Relationship Summary).

Certified licenses

Experience

GOLDMAN SACHS & CO. LLC

CETERA WEALTH SERVICES, LLC

GIRARD SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

UNITED CAPITAL FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 3/14/2008

SIE

Date: 10/1/2018

Series 31

Date: 10/30/2009

Series 7

Date: 3/4/2008

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

UNITED CAPITAL FINANCIAL ADVISORS

TRUST BUT VERIFY

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