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Stephanie C Bauer

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Tacoma, WA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-11-14
WA RA APPROVED 2023-10-10
  • TX RA
    APPROVED_RES
    Since 2023-11-14
  • WA RA
    APPROVED
    Since 2023-10-10

Branch Locations

1201 Pacific Ave, Tacoma, WA 98402 • 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
Wells Fargo Advisors. Llc San Diego CA 06/2010 11/2016
Wells Fargo Clearing Services, Llc San Diego CA 11/2016 04/2017
Altegris Investments La Jolla CA 05/2017 05/2019
Diversyfund San Diego CA 06/2019 01/2020
Commonwealth Financial Gig Harbor WA 07/2020 04/2023
Caia Certification Coronado CA 01/2020 06/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Tacoma WA 09/2023 Present
Maternity Leave Gig Harbor WA 04/2023 09/2023
Bank Of America, N.A. Tacoma WA 11/2023 Present
  • 06/2010 → 11/2016
    Wells Fargo Advisors. Llc
    San Diego, CA
  • 11/2016 → 04/2017
    Wells Fargo Clearing Services, Llc
    San Diego, CA
  • 05/2017 → 05/2019
    Altegris Investments
    La Jolla, CA
  • 06/2019 → 01/2020
    Diversyfund
    San Diego, CA
  • 07/2020 → 04/2023
    Commonwealth Financial
    Gig Harbor, WA
  • 01/2020 → 06/2020
    Caia Certification
    Coronado, CA
  • 09/2023 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Tacoma, WA
  • 04/2023 → 09/2023
    Maternity Leave
    Gig Harbor, WA
  • 11/2023 → Present
    Bank Of America, N.A.
    Tacoma, WA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-03-11
  • S66 Uniform Combined State Law Examination
    2013-03-11
Other Names
  • Stephanie Conn
  • Stephanie Bauer
  • Stephanie L Conn

View on SEC IAPD

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RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Tacoma, WA
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