Douglas J. Bauer

ALLSQUARE WEALTH MANAGEMENT

Albany, NY 12203

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CRD#: 1051210

Professional summary

Douglas James Bauer, CFP® is a registered financial advisor currently at ALLSQUARE WEALTH MANAGEMENT, LLC located in Albany, New York.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Douglas has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 2 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas James Bauer's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1988

Experience

Current

September 1, 2021 - Present

ALLSQUARE WEALTH MANAGEMENT, LLC

Office #1: 200 Great Oaks Blvd Suite 219, Albany, NY 12203

RIA

CRD#: 153591

Albany, NY

Past

August 6, 2010 - October 15, 2014

SPIRE SECURITIES, LLC

CRD#: 144131

ALBANY, NY

Past

May 5, 2003 - August 9, 2010

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

ALBANY, NY

Past

May 2, 1997 - May 8, 2003

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

January 11, 1984 - November 19, 1990

MCGINN, SMITH & CO., INC.

CRD#: 8453

ALBANY, NY

Past

June 19, 1983 - July 16, 1984

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

Past

September 2, 1982 - May 2, 1997

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

June 16, 1982 - April 30, 1984

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ALLSQUARE WEALTH MANAGEMENT, LLC

CRD#: 153591 / SEC#: 801-71675

RIA

Registered Investment Advisory firm - (7/9/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(9/4/2021)

IAR

Texas
(9/1/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/23/2007

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/3/2003

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/15/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/29/2006

General Securities Representative Examination

General Industry/Product Exam

Series 2

Date: 10/13/1976

Non-Member General Securities Examination

Current Firm

ALLSQUARE WEALTH MANAGEMENT, LLC

CRD#: 153591 / SEC#: 801-71675

RIA

Registered Investment Advisory firm - (7/9/2010 Approved)

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Contact information

Main Address

200 Great Oaks Blvd Suite 219, Albany, NY 12203

Mailing Address

Phone number

(518) 456-8900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

03 19 2025 AWM FORM ADV PART 2A FINAL (3/19/2025)

Regulatory assets under management

Total Number of Accounts	486
AUM (Assets Under Management)	$ 284,817,271

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/28/2025	Cover Page	Report
10/09/2024	Cover Page	Report
02/06/2024	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Douglas J. Bauer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas James Bauer's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPIRE SECURITIES, LLC

VOYA FINANCIAL ADVISORS, INC.

WADDELL & REED

MCGINN, SMITH & CO., INC.

AETNA LIFE INSURANCE AND ANNUITY COMPANY

WS GRIFFITH SECURITIES, INC.

NATHAN & LEWIS SECURITIES, INC.

Primary Firm SEC Registration

ALLSQUARE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/23/2007

Series 65

Date: 9/3/2003

SIE

Date: 10/15/2014

Series 7

Date: 12/29/2006

Series 2

Date: 10/13/1976

Current Firm

ALLSQUARE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALLSQUARE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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