Joseph Gregory Bauer

CRD 2612968 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Iselin, NJ

IA RegisteredBroker

Also appears in the source record as: Joseph Bauer

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 65Series 63Series 10Series 9Series 24SIESeries 31Series 7
Registered states (29): Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Illinois · Maryland · Massachusetts · Michigan · Nebraska · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · South Carolina · Texas · Utah · Vermont · Virginia · Washington · West Virginia
Years in the industry (source record): 31
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (7)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Iselin, NJ · IA capacity

Jan 15, 2009 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Iselin, NJ · BC capacity

start not retrieved → present
Citigroup Global Markets Inc.
BD capacity

Sep 10, 2004 → Jan 29, 2009
Citigroup Global Markets Inc.
IA capacity

Sep 10, 2004 → Jan 29, 2009
Morgan Stanley
IA capacity

May 23, 2002 → Sep 16, 2004
Morgan Stanley Dw Inc.
BD capacity

Jun 17, 1997 → Sep 16, 2004
H.J. Meyers & Co., Inc.
BD capacity

Jun 20, 1995 → May 6, 1997

Source & corrections

Where this page comes from

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