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Alexander L Bauer

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Fairfield, CT

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
TX RA APPROVED 2013-04-01
CT RA APPROVED 2013-03-28
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED
    Since 2013-04-01
  • CT RA
    APPROVED
    Since 2013-03-28

Branch Locations

1499 Post Rd, Fairfield, CT 06824 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner &Amp; Smith Incorporated Westport CT 12/2012 Present
  • 12/2012 → Present
    Merrill Lynch, Pierce, Fenner &Amp; Smith Incorporated
    Westport, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-03-27
S63 Uniform Securities Agent State Law Examination 2011-10-07
  • S65 Uniform Investment Adviser Law Examination
    2013-03-27
  • S63 Uniform Securities Agent State Law Examination
    2011-10-07
Other Names
  • Alex Bauer
  • Alex Lewis Bauer
  • Alex Bauer
  • Alexander Lewis Bauer

View on SEC IAPD

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Other Offices

HERBERT J. SIMS CAPITAL MANAGEMENT, INC. · FAIRFIELD, CT
MONECO ADVISORS · FAIRFIELD, CT
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Fairfield, CT
MONECO ADVISORS · FAIRFIELD, CT
JANNEY MONTGOMERY SCOTT LLC · Fairfield, CT
EDGEWOOD CAPITAL ADVISORS, LLC · SOUTHPORT, CT
AMERIPRISE FINANCIAL SERVICES, LLC · Southport, CT
DAYMARK WEALTH PARTNERS, LLC · Southport, CT

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