Darryll R. Bauchert
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Darryll Richard Bauchert SR, who also goes by Darryll Richard Bachert Sr, Darryll Richard Sr Bauchert, was a registered financial professional .
Darryll is a previously registered financial professional and started their career in finance in 1987. Darryll had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2021 - August 24, 2021
CARNEGIE INVESTMENT COUNSEL
January 3, 2005 - February 28, 2013
TRIAD ADVISORS LLC
April 30, 1998 - December 31, 2020
DARRYLL R. BAUCHERT, SR., MBA, CFP
March 5, 1998 - January 3, 2005
FSC SECURITIES CORPORATION
March 2, 1998 - January 3, 2005
FSC SECURITIES CORPORATION
January 5, 1996 - February 23, 1998
1ST GLOBAL CAPITAL CORP.
December 9, 1992 - January 11, 1996
CINCINNATI ANALYSTS, INC.
August 10, 1991 - December 8, 1992
VISION INVESTMENT GROUP, INC.
February 1, 1991 - November 27, 1991
HDA SERVICE CORPORATION
June 8, 1987 - August 7, 1990
ROBERT W. BAIRD & CO. INCORPORATED
June 8, 1987 - August 22, 1990
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
CARNEGIE INVESTMENT COUNSEL
CRD#: 150488 / SEC#: 801-70242
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CARNEGIE INVESTMENT COUNSEL
CRD#: 150488 / SEC#: 801-70242
Contact information
SEC notice filing (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,127 |
| AUM (Assets Under Management) | $ 6,520,130,588 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 07/13/2023 | ||
| 02/08/2023 |
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.
