Scott B. Bauer

CURVATURE SECURITIES LLC

Chatham, NJ 07928

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CRD#: 2627866

Professional summary

Scott Bryan Bauer, who also goes by Scott B Bauer, is a registered financial professional currently at CURVATURE SECURITIES LLC located in Chatham, New Jersey.

Scott is registered as a RR (Registered Representative) and started their career in finance in 2000. Scott has worked at 12 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Scott B Bauer

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) - BD

Click below to view Scott Bryan Bauer's 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®

None

Experience

Current

February 24, 2021 - Present

CURVATURE SECURITIES LLC

Office #1: 39 Main Street, Chatham, NJ 07928

CRD#: 169708

Chatham, NJ

Past

September 2, 2020 - March 31, 2021

XTELLUS CAPITAL PARTNERS, INC.

CRD#: 156048

NEW YORK, NY

Past

July 7, 2016 - December 9, 2019

CLSA AMERICAS, LLC

CRD#: 165533

NEW YORK, NY

Past

October 24, 2012 - May 11, 2016

TD ARRANGED SERVICES LLC

CRD#: 122529

NEW YORK, NY

Past

October 22, 2012 - May 11, 2016

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

July 19, 2010 - October 5, 2012

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

Past

October 3, 2007 - May 14, 2010

VIRTU ITG LLC

CRD#: 29299

NEW YORK, NY

Past

June 22, 2006 - September 12, 2007

LABRANCHE FINANCIAL SERVICES, LLC

CRD#: 7432

NEW YORK, NY

Past

December 8, 2005 - June 12, 2006

JEFFERIES EXECUTION SERVICES, INC.

CRD#: 867

NEW YORK, NY

Past

February 27, 2001 - June 12, 2006

JEFFERIES LLC

CRD#: 2347

JERSEY CITY, NJ

Past

May 24, 2000 - March 2, 2001

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

April 3, 2000 - May 10, 2000

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(2/24/2021)

Connecticut
(2/24/2021)

Illinois
(2/24/2021)

Indiana
(10/7/2022)

Massachusetts
(2/24/2021)

New Jersey
(2/24/2021)

New York
(2/24/2021)

Pennsylvania
(2/24/2021)

South Dakota
(9/28/2022)

Texas
(2/24/2021)

Exams

State Security Law Exam

Series 63

Date: 9/20/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 1/3/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 3/31/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/8/2021

General Securities Principal Examination

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

MEMX LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

NYSE National, Inc.

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

CURVATURE SECURITIES LLC

CRD#: 169708 / SEC#: , 8-69384

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

39 Main Street, Chatham, NJ 07928

Mailing Address

39 Main Street, Chatham, NJ 07928

Phone number

(908) 304-9200

Established

Delaware since 09/14/2013

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CURVATURE HOLDINGS LLC	SOLE MEMBER
BODNER, CHAIM M	PRESIDENT	6892303
KAPLAN, HAROLD M	FINOP	1719693
PIGOTT, TODD MATTHEW	CCO/AMLCO	2592495
PIGOTT, WILLIAM TERRENCE	CEO/MANAGER/EXECUTIVE REPRESENTATIVE	1546626

Disclosures

Regulatory Event

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

Scott B. Bauer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Scott Bryan Bauer's CRS (Customer Relationship Summary).

Certified licenses

Experience

XTELLUS CAPITAL PARTNERS, INC.

CLSA AMERICAS, LLC

TD ARRANGED SERVICES LLC

COWEN AND COMPANY

NOMURA SECURITIES INTERNATIONAL, INC.

VIRTU ITG LLC

LABRANCHE FINANCIAL SERVICES, LLC

JEFFERIES EXECUTION SERVICES, INC.

JEFFERIES LLC

GOLDMAN SACHS & CO. LLC

MORGAN STANLEY & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/20/2000

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 1/3/2001

Series 7

Date: 3/31/2000

Series 24

Date: 10/8/2021

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

FINRA

Investors' Exchange LLC

MEMX LLC

NYSE American LLC

NYSE Arca, Inc.

NYSE National, Inc.

NYSE Texas, Inc.

Nasdaq BX, Inc.

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

CURVATURE SECURITIES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CURVATURE SECURITIES LLC

TRUST BUT VERIFY

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