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James F Bauer

LPl Enterprise, LLC

Shelton, CT

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Current Employers
Lpl Enterprise, Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2026-03-23
  • CT RA
    APPROVED
    Since 2026-03-23

Branch Locations

1 Corporate Drive Suite 205, Shelton, CT 06484 • 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
Jeff Bauer Shelton CT 12/2023 Present
Student Fairfield CT 09/2014 06/2023
Student State College PA 06/2023 Present
Pruco Securities, Llc. Shelton CT 08/2024 11/2024
Lpl Enterprise, Llc Shelton CT 11/2024 Present
  • 12/2023 → Present
    Jeff Bauer
    Shelton, CT
  • 09/2014 → 06/2023
    Student
    Fairfield, CT
  • 06/2023 → Present
    Student
    State College, PA
  • 08/2024 → 11/2024
    Pruco Securities, Llc.
    Shelton, CT
  • 11/2024 → Present
    Lpl Enterprise, Llc
    Shelton, CT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-11-24
  • S66 Uniform Combined State Law Examination
    2025-11-24

View on SEC IAPD

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Other Offices

MML INVESTORS SERVICES, LLC · SHELTON, CT
RB CAPITAL MANAGEMENT, LLC · Shelton, CT
WRIGHT INVESTORS SERVICE INC · SHELTON, CT
THE WINTHROP CORPORATION · SHELTON, CT
WRIGHT PRIVATE ASSET MANAGEMENT LLC · SHELTON, CT
AMERIPRISE FINANCIAL SERVICES, LLC · SHELTON, CT
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · SHELTON, CT
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