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Joshua Johnson Bauer
JOSHUA JOHNSON BAUER, Josh J Bauer
CRD#: 6389108
IA
B
EDWARD JONESCRD#: 250 1601 NORTH HARRISON SUITE 4
PIERRE, SD 57501-0000
PIERRE, SD 57501-0000
0
Disclosures
7
Years of Experience
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State Registrations
B
Arizona 3/20/2020
B
South Carolina 2/15/2024
B
California 4/19/2023
B
South Dakota 1/7/2020
B
Colorado 3/24/2020
IA
South Dakota 1/29/2020
B
Florida 11/15/2021
B
Tennessee 5/21/2020
B
Kansas 1/17/2023
B
Texas 5/21/2020
B
Louisiana 3/30/2020
IA
Texas 5/22/2020
B
Maryland 4/1/2020
B
Vermont 7/6/2021
B
Nebraska 3/9/2020
B
Washington 5/21/2020
B
Nevada 8/25/2023
B
Wisconsin 5/21/2020
B
New Mexico 6/14/2023
B
Wyoming 3/6/2020
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 1/29/2020
B
Registered with this firm since 12/16/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/02/2015 - 03/02/2017 | DOUGLAS, WY | |
B | 10/20/2014 - 03/02/2017 | DOUGLAS, WY |
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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.
IA
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.