STEPHEN JOEL BAUER
CFP®Professional Summary
STEPHEN JOEL BAUER, CFP®, who also goes by Stephen Bauer, is a registered financial advisor currently at EVERGREEN FINANCIAL GROUP located in West Jordan, Utah. Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Stephen has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Biography
Stephen is a CERTIFIED FINANCIAL PLANNER™ professional and holds the FINRA Series 66 license. He began his career in financial services in 2016 working as a broker for Scottrade, focusing on delivering the highest client experience, providing investment education and helping clients reach their financial goals. He then transitioned into a lead role, overseeing a team of associates and resolving escalated client issues throughout the merger of TD Ameritrade. Stephen grew up in Wyoming and...
Other Aliases
STEPHEN JOEL BAUER, Stephen Bauer
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
Website
xxxxxxxxxx.xxx
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Disclosures on record.
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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Credentials
Years of Experience
10 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
EVERGREEN FINANCIAL GROUP | EVERGREEN FINANCIAL GROUP, LLC
Contact Information
Main Address
Billings, MTPhone Number
(406) 272-2828# of Employees
3Documents
Regulatory Assets Under Management
Total Number of Accounts
161AUM (Assets Under Management)
$29,515,583Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(4/17/2025)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view STEPHEN JOEL BAUER's CRS (Customer Relationship Summary).
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