Brian J Bauer

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2008 → 09/2020
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Baltimore, MD
• 07/2011 → 09/2020
  Bank Of America, N.A.
  Annapolis, MD
• 09/2020 → Present
  Wells Fargo Clearing Services, Llc
  Annapolis, MD

Previous Registrations

• 2008-07-18 → 2020-09-21
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Baltimore, MD
  Annapolis, MD
• 2006-02-21 → 2008-07-31
  Citigroup Global Markets Inc.
  Columbia, MD
  New York, NY
  Columbia, MD
• 2002-08-30 → 2006-02-21
  Legg Mason Wood Walker, Incorporated
  Columbia, MD

Other Businesses

LIMESTONE UNIVERSITY, NOT INV RELATED, GAFFNEY, SC, TREASURER, START 9/16/24, 2 HRS PER MONTH, 0 HRS DURING TRADING, ACT OR PROCESS OF GOVERNING OR OVERSEEING THE CONTROL AND DIRECTION OF THE UNIVERSITY;

Exams

• S66 Uniform Combined State Law Examination
  2002-08-29

Other Names

• Brian J. Bauer