Joseph D. Bauer
PRINCIPAL SECURITIES
Surprise, AZ
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CRD#: 6873632
Professional summary
Joseph D Bauer, CFP®, who also goes by Joseph Douglas Bauer, Joseph Bauer, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Surprise, Arizona.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Joseph has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph Douglas Bauer | Joseph 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.
**Fixed Insurance; Investment Related; Phoenix, AZ; Agent; Fixed: LI, DI, LTC, Annuities, Health, Medical, Group Benefits; Start Date: 05/01/2019; 5 hrs per month; 5 during trading hours. **Green Ranch North HOA Board; Not Investment Related; Phoenix, AZ; Board Members; Consolidating financials, presenting income statements, balance sheet, and executive board meetings.; Start Date: 04/01/2020; 10 hrs per month; 0 during trading hours. **BAUER COACHING & WEALTH (BCW) FINANCIAL SOLUTIONS LLC POSITION: President & CEO NATURE: Fee-based Financial Planning INVESTMENT RELATED: Yes NUMBER OF HOURS: 167 SECURITIES TRADING HOURS: 167 START DATE: 08/15/2023 ADDRESS: 11754 N 161st Dr, Surprise AZ 85379, United States DESCRIPTION: Current Clients that have been with me from my career at Principal along with additional clients we onboard. Will be providing the same services that we have as a licensed Rep with Principal [fixed life, disability, long term care insurance, fixed annuities, fee-based planning, fee-based asset management, etc.]. **BAUER COACHING & WEALTH (BCW) FINANCIAL SOLUTIONS LLC POSITION: President & CEO NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: Yes NUMBER OF HOURS: 167 SECURITIES TRADING HOURS: 167 START DATE: 08/15/2023 ADDRESS: 11754 N 161st Dr, Surprise AZ 85379, United States DESCRIPTION: LLC behind Financial Professional's disclosed DBA. Confirmed with Joe that he is the sole owner within the LLC.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph D Bauer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph D Bauer'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®
CFP®
Start date: 2021
Experience
Current
May 2, 2019 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
Surprise, AZ
Current
April 30, 2019 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
Surprise, AZ
Past
January 16, 2018 - March 28, 2019
EDWARD JONES
RIA
CRD#: 250
SURPRISE, AZ
Past
December 21, 2017 - March 28, 2019
EDWARD JONES
BD
CRD#: 250
SURPRISE, AZ
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".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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
Arizona(4/30/2019)
IAR
Arizona(5/2/2019)
RR
California(11/11/2020)
RR
Colorado(4/30/2019)
RR
Georgia(10/9/2019)
RR
Maryland(11/8/2023)
RR
Montana(6/11/2021)
RR
Nevada(2/15/2021)
RR
New Mexico(6/28/2019)
RR
Pennsylvania(9/8/2023)
RR
Texas(4/30/2019)
IAR
Texas(3/6/2021)
RR
Washington(7/14/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
