Unclaimed Profile

Nicholas Charles Bauer

OPEROSE ADVISORS LLC·MILWAUKEE, Wisconsin

Series 7, Series 24, Series 63, Series 65Clean record22 years registeredOPEROSE ADVISORS LLC

731 NORTH WATER STREET, MILWAUKEE, WI 53202CRD# 3099440Firm CRD# 287465

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Nicholas Charles Bauer · MILWAUKEE, WI

Registration

CRD #3099440 · OPEROSE ADVISORS LLC · 22 years registered

Brand Profile

Not yet started

Career History

OPEROSE ADVISORS LLC

Jun 2017 – present

HENDERSON GLOBAL INVESTORS

Aug 2015 – Jan 2017

CHICAGO, IL

HENDERSON GENEVA CAPITAL MANAGEMENT

Jun 2010 – Jan 2017

MILWAUKEE, WI

MBO CLEARY ADVISORS INC.

Jan 2010 – May 2010

MILWAUKEE, WI

CLEARY GULL INC.

Sep 2009 – May 2010

MILWAUKEE, WI

CLEARY GULL INC.

Dec 2008 – Dec 2008

MILWAUKEE, WI

ZIEGLER CAPITAL MANAGEMENT, LLC

May 2005 – Nov 2008

MILWAUKEE, WI

B. C. ZIEGLER AND COMPANY

Apr 2005 – Nov 2008

MILWAUKEE, WI

OAKBROOK FINANCIAL GROUP, LLC

Jan 2004 – Apr 2005

OAK BROOK, IL

Registrations & Exams

FINRA examinations passed

Series 7

Series 24

Series 63

Series 65

Registration record

First registered · January 5, 2004

Years registered · 22

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

OPEROSE ADVISORS LLC

CRD 287465 · SEC 801-118313

AUM

$1.3B

Regulatory assets under management

Employees

1,264 client accounts

Services offered by OPEROSE ADVISORS LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Selection of other advisers

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

View all advisors at OPEROSE ADVISORS LLC →

Introduction

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Frequently Asked Questions

What services does Nicholas Charles Bauer offer?

Nicholas Charles Bauer specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management. Contact their office in MILWAUKEE, Wisconsin for a consultation.

What are Nicholas Charles Bauer's credentials?

Nicholas Charles Bauer is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Nicholas Charles Bauer located?

Nicholas Charles Bauer is based in MILWAUKEE, Wisconsin, working with OPEROSE ADVISORS LLC. Their office serves clients in the MILWAUKEE metropolitan area and surrounding communities.

How does Nicholas Charles Bauer charge for services?

Nicholas Charles Bauer's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is OPEROSE ADVISORS LLC?

OPEROSE ADVISORS LLC has approximately 11 employees and manages $1.3B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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