Daniel D. Bauer

ALLSQUARE WEALTH MANAGEMENT

ALBANY, NY 12203

Some features on this profile are disabled

CRD#: 4430682

Professional summary

Daniel Douglas Bauer, CFP® is a registered financial advisor currently at ALLSQUARE WEALTH MANAGEMENT, LLC located in Albany, New York and PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Daniel has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 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.

1)ALLSQUARE WEALTH MANAGEMENT, LLC, 200 GREAT OAKS BLVD, ALBANY, NY 12203-08/2010-PRESENT, SEC REGISTERED INVESTMENT ADVISOR, 160 HRS/MONTH, 100 HRS/MONTH DURING TRADING. PROVIDING FEE BASED FINANCIAL PLANNING AND INVESTMENT MANAGEMENT SERVICES TO INDIVIDUALS, CORPORATIONS AND PENSION PLANS. ALLSQUARE ALSO PROVIDES TAX PREPARATION SERVICES FOR CLIENTS FOR A FEE. 2)INDEPENDENT INSURANCE AGENT, 200 GREAT OAKS BLVD, ALBANY, NY 12203 - 07/2001-PRESENT, THROUGH ARRANGEMENT WITH VARIOUS INSURANCE ORGANIZATIONS. 5 HOURS/MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Douglas 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: 2013

Experience

Current

August 1, 2012 - Present

ALLSQUARE WEALTH MANAGEMENT, LLC

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

RIA

CRD#: 153591

ALBANY, NY

Current

October 15, 2014 - Present

PURSHE KAPLAN STERLING INVESTMENTS

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

CRD#: 35747

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

September 14, 2001 - May 7, 2003

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

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.

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

Arizona
(10/15/2014)

Florida
(10/15/2014)

Georgia
(5/5/2023)

New York
(10/15/2014)

IAR

New York
(6/9/2021)

Ohio
(1/11/2016)

IAR

Texas
(8/1/2012)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/27/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/13/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/8/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ALLSQUARE WEALTH MANAGEMENT, LLC

CRD#: 153591 / SEC#: 801-71675

RIA

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Nichole Raftopoulos

NVEST FINANCIAL, LLC

IAR

Portland, ME

Douglas Kelly

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Latham, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Daniel D. Bauer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

SPIRE SECURITIES, LLC

VOYA FINANCIAL ADVISORS, INC.

WADDELL & REED

Primary Firm SEC Registration

ALLSQUARE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/27/2001

SIE

Date: 10/1/2018

Series 7

Date: 9/13/2001

Series 24

Date: 4/8/2004

FINRA

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

Similar Advisors