Timothy C. Bauer
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.
Timothy Cliff Bauer, who also goes by Tim C Bauer, Timothy Bauer, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1987. Timothy had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 2004 - June 22, 2015
WESTPARK WEALTH ADVISORS, INC.
December 13, 2004 - June 22, 2015
IMS SECURITIES, INC.
March 12, 2004 - December 14, 2004
QA3 FINANCIAL LLC
March 5, 2004 - December 14, 2004
QA3 FINANCIAL CORP.
May 30, 2003 - March 11, 2004
FREEDOM ASSET MANAGEMENT, INC.
October 2, 2002 - March 5, 2004
FREEDOM FINANCIAL, INC.
September 18, 1987 - October 4, 2002
THRIVENT INVESTMENT MANAGEMENT INC.
Primary Firm SEC Registration
WESTPARK WEALTH ADVISORS, INC.
CRD#: 130914 / SEC#: 801-63009
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
WESTPARK WEALTH ADVISORS, INC.
CRD#: 130914 / SEC#: 801-63009
Contact information
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 700 |
| AUM (Assets Under Management) | $ 229,314,510 |
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.
