Individual Firm
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FRANCIS ALBERT BAUTZ JR
FRANK BAUTZ
CRD#: 3217237
IA
B
MERIT FINANCIAL ADVISORSCRD#: 142457 8198 Jog Road
Suite 205
Boynton Beach, FL 33472
Suite 205
Boynton Beach, FL 33472
PURSHE KAPLAN STERLING INVESTMENTSCRD#: 35747 Palm Beach Gardens, FL
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4/21/2009
Customer Dispute
Withdrawn
7/13/2001
Customer Dispute
Closed-No Action
State Registrations
B
California 8/16/2024
B
Florida 8/16/2024
B
Colorado 8/16/2024
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Texas 9/2/2020
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Florida 9/23/2020
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 9/2/2020
B
Registered with this firm since 8/16/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/29/2009 - 08/16/2024 | BOYNTON BEACH, FL | |
IA | 09/27/2010 - 09/02/2020 | BOYNTON BEACH, FL | |
IA | 08/03/2009 - 12/31/2010 | BOYNTON BEACH, FL | |
IA | 05/13/2003 - 07/30/2009 | LAKE WORTH, FL | |
B | 01/02/2003 - 07/30/2009 | LAKE WORTH, FL | |
B | 01/02/2003 - 04/12/2006 | FORT WAYNE, IN | |
IA | 03/08/2000 - 01/21/2003 | BOYNTON BEACH, FL | |
B | 03/08/2000 - 01/21/2003 | ST. LOUIS, MO | |
B | 06/15/1999 - 02/23/2000 | ST. LOUIS, MO |
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.