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Type: Registered Representative

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.

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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

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.

Experience and Employment History

Employer Years Dates
Nationwide Investment Services Corporation 6 years, 2 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
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of , and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

License Status

1 Customer Dispute

As of Date
*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.

Advisor Exams

Exam Series Passed Date
General Securities Representative Examination Series 7 05/15/2006
Investment Company Products/Variable Contracts Representative Examination Series 6 07/25/1997
Uniform Securities Agent State Law Examination Series 63 03/31/1997

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees