Joseph Gregory Bauer

Current Employers

Employment History

• 01/2009 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
  Red Bank, NJ
• 12/2009 → Present
  Bank Of America, Na
  Red Bank, NJ

Previous Registrations

• 2004-09-10 → 2009-01-29
  Citigroup Global Markets Inc.
  Red Bank, NJ
  Red Bank, NJ
• 2002-05-23 → 2004-09-16
  Morgan Stanley Dw Inc.
  Westfield, NJ

Other Businesses

I*43157 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: JOSEPH G. BAUER INVESTMENT RELATED: Y ADDRESS OF BUSINESS: EDISON, NEW JERSEY 8820 NATURE OF BUSINESS: SOLE PROPRIETORSHIP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 6/22/2009 NUMBER OF HOURS DEVOTED: 20 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: I ATTEND A FEW AUCTIONS PER YEAR, BID ON OUTSTANDING MUNICIPAL TAX LIENS AND DO SOME MINOR ADMINISTRATION WORK THROUGHOUT THE YEAR. ALL OF THE LIENS ARE PURCHASED WITH MY PERSONAL FUNDS. I*345953 For profit or not for profit: Entity for Profit Name of outside business organization: The Humble Warrior - Fashion & Fitness Investment related: N Address of business: Edison, New Jersey 08820 Nature of business: S-Corp, Position, title, association: Employee Start date of relationship: 1/1/2019 Number of hours devoted: 30 hour(s) Monthly Number of hours devoted during trading hours: 3 Duties: Biz: Online blogging and affiliate marketing. My proposed role: general admin work and helping to further develop the business. I also am the general tech manager for the company. I work with our website and mobile app manager to make sure all of our online apps are running smoothly and we are resolving any tech issues that arise.

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-06-02
• S63 Uniform Securities Agent State Law Examination
  1995-07-18

Other Names

• Joseph Bauer