William G. 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.
William George Bauer was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1975. William had worked at 19 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2014 - November 10, 2014
REALTA EQUITIES, INC.
October 1, 2014 - November 20, 2014
IRON VALLEY WEALTH MANAGEMENT, LLC
August 1, 2006 - October 16, 2012
NEXBANK SECURITIES INC
March 21, 2005 - August 1, 2006
FORESIDE FUNDS DISTRIBUTORS LLC
May 20, 2002 - September 28, 2004
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
September 19, 2000 - September 28, 2004
NYLIFE DISTRIBUTORS LLC
April 12, 2000 - August 1, 2000
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
May 2, 1998 - September 20, 1999
DEUTSCHE BANK SECURITIES INC.
June 5, 1996 - March 20, 1998
COREBRIDGE CAPITAL SERVICES, INC.
September 15, 1993 - May 20, 1996
NATIXIS DISTRIBUTION, LLC
February 4, 1989 - September 15, 1993
TNE INVESTMENT SERVICES CORPORATION
December 2, 1988 - January 9, 1989
MERRICO INVESTMENTS CORPORATION
June 8, 1987 - September 22, 1988
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
April 10, 1987 - May 2, 1987
TRION SECURITIES CORPORATION
February 24, 1983 - November 20, 1986
CALLON SECURITIES COMPANY
August 27, 1980 - September 7, 1982
BUTCHER & SINGER INC.
May 16, 1980 - February 10, 1984
JONES FALLS SECURITIES INC.
September 28, 1977 - November 25, 1978
E. F. HUTTON & COMPANY INC
September 25, 1975 - October 22, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
Current Firm
REALTA EQUITIES, INC.
CRD#: 23769 / SEC#: , 8-40822
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 7 |
Red Flags
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