Timothy L. Bambauer
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 Lewis Bambauer was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1990. Timothy had worked at 6 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2011 - May 21, 2014
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
September 3, 2009 - September 8, 2011
QUEENS OAK ADVISORS
April 3, 2009 - September 3, 2009
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
April 3, 2009 - May 15, 2014
CAPITAL GUARDIAN, LLC
November 16, 2007 - March 13, 2009
STANFORD GROUP COMPANY
November 16, 2007 - March 13, 2009
STANFORD GROUP COMPANY
December 31, 2001 - November 20, 2007
MORGAN KEEGAN & COMPANY, LLC
May 25, 2001 - November 20, 2007
MORGAN KEEGAN & COMPANY, LLC
October 5, 1990 - June 15, 2001
WACHOVIA SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
CRD#: 131631 / SEC#: 801-63969
Contact information
Red Flags
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