Estate & Retirement Strategies LLC

Estate & Retirement Strategies LLC (CRD# 117134) is a financial advisory firm headquartered in Tempe, AZ. They manage $1,663,402 in 15 accounts and serve the financial needs of clients across 1 states (or territories).

Current Firm Details
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States
Advisors affiliated with a RIA are permitted to work with up to five clients in nearly-all states* without explicit registration. The map below shows states where this firm has explicit registration only.


Financial Advisors at Estate & Retirement Strategies LLC
Showing 1 - 1 of 1 top financial advisors.
Annette M. Bau
CRD#: 1895794
Tempe, AZ 85283

Annette Bau (CRD# 1895794) is an Investment Advisor Representative working at Estate & Retirement Strategies LLC in Tempe, AZ and has over 30 years of experience in the finance industry. Annette Bau 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.

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