Deloria D. Bauer
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Deloria Doe Bauer, who also goes by Deloria Lee Alice Brown, Deloria Lee Alice Doe, Deloria Leealice Doe, Deloria Lee Alice Smith, was a registered financial professional .
Deloria is a previously registered financial professional and started their career in finance in 1981. Deloria had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 62, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2012 - September 20, 2017
MEASURED RISK PORTFOLIOS
February 6, 2007 - July 6, 2015
INDEPENDENT FINANCIAL GROUP, LLC
February 6, 2007 - July 6, 2015
INDEPENDENT FINANCIAL GROUP, LLC
February 16, 2000 - February 8, 2007
MML INVESTORS SERVICES, LLC
July 2, 1993 - February 8, 2007
MML INVESTORS SERVICES, LLC
February 2, 1981 - July 7, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 2, 1981 - July 7, 1993
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
MEASURED RISK PORTFOLIOS
CRD#: 141422 / SEC#: 801-80124
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 62
Date: 12/7/1998
Corporate Securities Limited Representative ExaminationCurrent Firm
MEASURED RISK PORTFOLIOS
CRD#: 141422 / SEC#: 801-80124
Contact information
SEC notice filing (18 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,456 |
| AUM (Assets Under Management) | $ 399,968,279 |
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.
