Joseph
Bauer

Principal Securities, Inc

CRD#6873632
Investment Advisor
in Surprise, AZ

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About this Advisor

Joseph Bauer is a financial advisor based in Surprise, Arizona, working with Principal Securities, Inc. Joseph has previously held positions at Edward Jones, Chevron, Principal Life Insurance Company, Principal Securities Inc, and Bauer Coaching & Wealth (Bcw) Financial Solutions. Joseph has passed the Series 66 regulatory exam and is registered to provide services in Arizona and Texas. Currently, Joseph is part of Principal Securities, Inc, which operates out of Surprise, Arizona. The firm has 384 offices and 1,349 employees. The firm manages assets totaling $12.1 billion and serves a variety of clients, including charitable organizations and high-net-worth individuals. The services offered by the firm include financial planning services, portfolio management for individuals and small businesses, pension consulting services, selection of other advisers, and educational seminars. The fee structure at Principal Securities, Inc includes asset-based, hourly, fixed, and other fees.

Certifications and Registrations

Series 66, CERTIFIED FINANCIAL PLANNER™

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Others

Office Location

Surprise, AZ

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Principal Securities, Inc Brokerage Details

Total Assets Under Management

$12,105,712,948

AZ Average: $9,259,360,772
Total Number of Employees

1,349

AZ Average: 166
Total Number of Accounts

54,844

AZ Average: 7,189
Average Account Size

$220,730

AZ Average: $1,287,990

Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers
  • Educational seminars/workshops

Joseph Bauer Work History

2023 - Present (1 year)

Bauer Coaching & Wealth (Bcw) Financial Solutions

2019 - Present (5 years)

Principal Securities Inc

2019 - 2022 (3 years)

Principal Life Insurance Company

2017 - 2019 (2 years)

Edward Jones

2015 - 2017 (2 years)

Chevron

2012 - 2015 (3 years)

Chevron

Created with Highcharts 6.0.7

Disclosures

Please visit the SEC profile of Joseph Bauer to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at Principal Securities, Inc

Michael Harken
Camdenton, MO
Roger Goren
Melville, NY
Reid Johnson
Cedar Falls, IA
Martha Nielsen
Latham, NY
Brandon Meza
San Diego, CA
Caleb Robinson
Houston, TX
Andrew Karrmann
Elkhorn, NE
Joel Poole
Charlotte, NC

The content in this profile was updated by SmartAsset on 6/19/2024. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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