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Christopher John Bauer

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Information

Firm:
Type: Registered Representative
Description

Christopher Bauer is a financial professional at Nationwide Investment Services Corporation, a broker-dealer with over 1,900 registered representatives nationwide. Christopher has held an industry securities registration for 5 years and is subject to FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Nationwide Investment Services Corporation 6 years, 10 months Feb 2008 - Present
M&T Securities 1 year, 10 months Mar 2006 - Jan 2008
Banc of America Investment Services, Inc. 7 months Jul 2005 - Feb 2006
Nationwide Investment Services 3 years, 2 months May 2002 - Jul 2005
Exams
ExamSeriesPassed Date
General Securities Representative ExaminationSeries 7 05/15/2006
Investment Company Products/Variable Contracts Representative ExaminationSeries 6 07/25/1997
Uniform Securities Agent State Law ExaminationSeries 63 03/31/1997

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Christopher John Bauer has not answered any questions on Financial Q&A.

Top Guides

Christopher John Bauer has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Corporations or Other Businesses
State or Municipal Government Entities

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Disclosures

1 Customer Dispute

As of Date
11/18/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees