Joseph D Bauer

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 11/2017 → 04/2019
  Edward Jones
  St Louis, MO
• 10/2015 → 11/2017
  Chevron
  Houston, TX
• 04/2019 → 12/2022
  Principal Life Insurance Company
  Surprise, AZ
• 04/2019 → Present
  Principal Securities Inc
  Surprise, AZ
• 05/2023 → Present
  Bauer Coaching & Wealth (Bcw) Financial Solutions
  Surprise, AZ

Previous Registrations

• 2018-01-16 → 2019-03-28
  Edward Jones
  Surprise, AZ
  St Louis, MO
  Surprise, AZ

Other Businesses

**Fixed Insurance; Investment Related; Phoenix, AZ; Agent; Fixed: LI, DI, LTC, Annuities, Health, Medical, Group Benefits; Start Date: 05/01/2019; 5 hrs per month; 5 during trading hours. **Green Ranch North HOA Board; Not Investment Related; Phoenix, AZ; Board Members; Consolidating financials, presenting income statements, balance sheet, and executive board meetings.; Start Date: 04/01/2020; 10 hrs per month; 0 during trading hours. **BAUER COACHING & WEALTH (BCW) FINANCIAL SOLUTIONS LLC POSITION: President & CEO NATURE: Fee-based Financial Planning INVESTMENT RELATED: Yes NUMBER OF HOURS: 167 SECURITIES TRADING HOURS: 167 START DATE: 08/15/2023 ADDRESS: 11754 N 161st Dr, Surprise AZ 85379, United States DESCRIPTION: Current Clients that have been with me from my career at Principal along with additional clients we onboard. Will be providing the same services that we have as a licensed Rep with Principal [fixed life, disability, long term care insurance, fixed annuities, fee-based planning, fee-based asset management, etc.]. **BAUER COACHING & WEALTH (BCW) FINANCIAL SOLUTIONS LLC POSITION: President & CEO NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: Yes NUMBER OF HOURS: 167 SECURITIES TRADING HOURS: 167 START DATE: 08/15/2023 ADDRESS: 11754 N 161st Dr, Surprise AZ 85379, United States DESCRIPTION: LLC behind Financial Professional's disclosed DBA. Confirmed with Joe that he is the sole owner within the LLC.

Exams

• S66 Uniform Combined State Law Examination
  2018-01-13

Designations

• Certified Financial Planner

Other Names

• Joseph Douglas Bauer
• Joseph Bauer