Frank J. Bauco
STRATEGIC ADVISERS LLC | Planning Consultant
PORT CHESTER, NY
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CRD#: 6027099
Professional summary
Frank Joseph Bauco, who also goes by Frank Joseph Bauco, Frank J Bauco Jr, Frank J Bauco, Frank Bauco, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Port Chester, New York and FIDELITY BROKERAGE SERVICES LLC located in Stamford, Connecticut.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Frank has worked at 4 firms and has passed the Series 66, Series 6TO, Series 7TO and SIE exams.
Biography
I strive to build genuine and impactful relationships with my clients. I work side by side with them to create a comprehensive financial plan that best meets their needs by taking the time to understand what's most important to them.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Frank Joseph Bauco | Frank J Bauco Jr | Frank J Bauco | Frank Bauco
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.
CRS (Client Relationship Summary) - RIA
Click below to view Frank Joseph Bauco's 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®
NoneEducation
Iona College
Bachelor of Business Administration - Finance & Economics
2012
Experience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 869 Washington Blvd, Stamford, CT 06901-2903RIA
CRD#: 104555
PORT CHESTER, NY
Current
May 5, 2022 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 869 Washington Blvd, Stamford, CT 06901-2903BD
CRD#: 7784
Stamford, CT
Past
May 27, 2022 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
STAMFORD, CT
Past
September 24, 2021 - May 3, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
Norwalk, CT
Past
May 26, 2021 - May 3, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
Norwalk, CT
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/12/2024)
RR
Arizona(1/6/2023)
RR
California(12/1/2023)
RR
Connecticut(5/5/2022)
IAR
Connecticut(3/31/2025)
RR
Delaware(2/22/2024)
RR
District of Columbia(9/3/2024)
RR
Florida(1/6/2023)
RR
Georgia(9/29/2023)
RR
Illinois(1/31/2024)
RR
Maine(2/22/2024)
RR
Massachusetts(7/25/2023)
RR
Minnesota(1/3/2025)
RR
Nevada(5/17/2024)
RR
New Hampshire(12/1/2023)
RR
New Jersey(7/25/2023)
RR
New Mexico(5/3/2024)
RR
New York(5/5/2022)
IAR
New York(3/31/2025)
RR
Ohio(12/2/2023)
RR
Pennsylvania(10/11/2023)
RR
Rhode Island(7/25/2023)
RR
South Carolina(1/31/2024)
RR
Texas(5/9/2022)
IAR
Texas(3/31/2025)
RR
Virginia(1/31/2024)
RR
Washington(9/29/2023)
RR
Wyoming(5/3/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 5/26/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
