TB
Thomas C. Bauer
BAUER FINANCIAL SERVICES
SARASOTA, FL
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CRD#: 4548728
TB
Professional summary
Thomas Charles Bauer, CFP® is a registered financial advisor currently at BAUER FINANCIAL SERVICES, INC. located in Sarasota, Florida.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Thomas has worked at 1 firm .
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.
INCOME TAX PREPARATION; Thomas C. Bauer, CPA. It is not investment related. Address: 4715 Cedron Ct., Sarasota FL 34240. Income Tax preparation and planning. Thomas C. Bauer is the President. Start date 1991. Time spent about 120 hours per month on tax preparation. During trading hours the hours spent on tax preparation varies from zero to four hours per trading day depending on tax season schedule. Thomas Bauer is responsible for tax preparation and planning for clients, some of whom are also investment clients but that is not a requirement.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Charles 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®
Experience
Current
October 6, 1999 - Present
BAUER FINANCIAL SERVICES, INC.
RIA
CRD#: 120819
SARASOTA, FL
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.Highlighted states indicate IAR registrations
IAR
Florida(3/26/2025)
IAR
Ohio(10/6/1999)
Exams
Current Firm
BF
BAUER FINANCIAL SERVICES, INC.
BAUER FINANCIAL SERVICES, INC.
CRD#: 120819 / SEC#:
Florida
Registered Investment Advisory firm - (3/26/2025 Approved)Ohio
Registered Investment Advisory firm - (10/14/1999 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Sarasota, FL
Mailing Address
Phone number
(440) 708-1041
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 73 |
| AUM (Assets Under Management) | $ 20,759,465 |
Red Flags
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