Todd BauerleCRD Number: 1328549
Current Firm: Bauerle Financial Inc.
Todd Bauerle (CRD# 1328549) is an Investment Advisor Representative working at Bauerle Financial Inc. in Lake Mary, FL and has over 26 years of experience in the finance industry. Todd Bauerle has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Ameriprise Financial Services, Inc.
American Financial Advisors Inc.
Retirement Wealth Advisors, Inc.
|Bauerle Financial, Inc.||Deland, FL||Jan 1996 - Current||22|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Aug 1991|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management104MILLIONS
Total Number of Accounts720ACCOUNTS
Average Account Value$144,325
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
FL, GA, NC, TX