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Annette Marion Bau is a financial_advisor professional located in Tempe, AZ. They specialize in financial advisory.
Annette Marion Bau - Estate & Retirement Strategies Llc holds an active professional license (FINRA CRD) for your protection.
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Annette Marion Bau operates Estate & Retirement Strategies LLC in Tempe, Arizona, offering financial advisory services. The firm holds FINRA CRD registration (License #1895794), which provides regulatory oversight of securities-related activities. Annette Marion Bau brings experience in estate planning and retirement strategy consultation to clients seeking guidance on long-term financial matters.
FINRA CRD registration indicates that Annette Marion Bau is registered with the Financial Industry Regulatory Authority, the self-regulatory organization that oversees securities brokers and advisors. This registration means the advisor is subject to FINRA rules, examinations, and ongoing compliance requirements. Clients can verify the registration status and disciplinary history through FINRA's BrokerCheck system. The registration covers securities-related advisory and brokerage activities, though the scope may vary based on specific licenses held under this CRD number.