Stephen Douglas Bauer

Employer firm

United Capital Financial Advisors CRD 134600

$24.6B regulatory AUM 160 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

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

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

Current Employers

Employment History

• 12/2014 → 11/2017
  Girard Securities
  Woodlands, TX
• 12/2014 → Present
  United Capital Financial Advisors, Llc
  Newport Beach, CA
• 11/2017 → 09/2020
  Cetera Advisor Networks Llc
  El Segundo, CA

Previous Registrations

• 2013-04-26 → 2014-12-12
  Ameriprise Financial Services, Llc
  The Woodlands, TX
• 2008-03-17 → 2013-04-29
  Wells Fargo Clearing Services, Llc
  The Woodlands, TX
  St. Louis, MO
  Houston, TX

Other Businesses

1 - Name of other business: United Capital Financial Advisors, LLC DBA UCFA, LLC, United Capital, United Capital Financial Life Management, United Capital Private Wealth Counseling & United Capital Retirement Advisers. Investment related: Yes Address: Same as Registered Location Nature of business: Investment advisory firm registered with the SEC Position/title/relationship: Investment Advisory Representative Start Date: 12/05/2014 Apx number of hours per week: 40 Apx number of hours during trading hours: 32.5 Brief description of duties: Investment Advisor providing advisory services to its clients, including discretionary investment management and financial guidance 2 - Name of other business: Fixed insurance with various companies DBA United Capital Risk Management Investment related: Yes Address: Same as Registered Location Nature of business: Fixed Insurance Start Date: 12/05/2014 Apx number of hours per week: 40 Apx number of hours during trading hours: 32.5 Position/title/relationship: Insurance Agent Brief description of duties: Sells Life, Health and Annuities

Exams

• S66 Uniform Combined State Law Examination
  2008-03-14

Designations

• Certified Financial Planner

Other Names

• Stephen D Bauer