CB
Cody C. Bauer
WESTPARK WEALTH ADVISORS
Winnie, TX 77665
Some features on this profile are disabled
CRD#: 4798685
CB
Professional summary
Cody Cliff Bauer is a registered financial advisor currently at WESTPARK WEALTH ADVISORS, INC. located in Winnie, Texas and CALTON & ASSOCIATES, INC. located in Winnie, Texas.
Cody is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Cody has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
No. 1) Name of Business: Bauer's Texas Financial LP. Non-Investment related. Address: 1421 Hwy 124, Winnie, TX 77665. Nature of Business: DBA for Financial Services. Position/Title/Relationship: Owner. Hours per month: 125. Hours per month during Securities trading hours: 90. Duties/Responsibilities: Assist and advise with investment management for retirement. There are a variety of products offered with my business. Those include annuities, mutual funds, brokerage accounts, managed money accounts, and life insurance.
No. 2) Name of Business: Winnie Area Chamber of Commerce. Non-Investment related. Address: 327 East Leblanc, Winnie, TX 77665. Nature of Business: Serve as Board of Director for local chamber of commerce. Position/Title/Relationship: Director. Hours per month: 5. Hours per month during Securities trading hours: Less than 2. Duties/Responsibilities: Serve on Board of Directors.
No. 3) Name of Business: Westpark Wealth Advisors, Inc. Investment related. Address: 10205 Westheimer Road. Suite 500, Houston, TX 77042. Nature of Business: Advisory Services. Position/Title/Relationship: IAR. Hours per month: 50. Hours per month during Securities trading hours: 75. Duties/Responsibilities: Provide Advisory Management to clients' accounts.
No. 4) Name of Business: Bauer Real Estate, LLC. Non-Investment related. Address: 1421 Hwy 124, Winnie, TX 77665. Nature of Business: Used for Tax Purposes. Position/Title/Relationship: Owner. Start Date: 06/2016. Hours per month: 0. Hours per month during Securities trading hours: 0. Duties/Responsibilities: No responsibilities.
CRS (Client Relationship Summary) - RIA
Click below to view Cody Cliff 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®
NoneExperience
Current
May 2, 2008 - Present
WESTPARK WEALTH ADVISORS, INC.
Office #1: 1790 Bauer Rd., Winnie, TX 77665RIA
CRD#: 130914
Winnie, TX
Current
November 14, 2017 - Present
CALTON & ASSOCIATES, INC.
Office #1: 1790 Bauer Rd., Winnie, TX 77665RIA
BD
CRD#: 20999
Winnie, TX
Past
June 13, 2006 - November 9, 2017
IMS SECURITIES, INC.
BD
CRD#: 35567
WINNIE, TX
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".
WW
WESTPARK WEALTH ADVISORS, INC.
IMS FINANCIAL ADVISORS, INC. | WESTPARK WEALTH ADVISORS, INC. | WESTPARK WEALTH ADVISORS | WEST PARK WEALTH ADVISORS
CRD#: 130914 / SEC#: 801-63009
RIA
Registered Investment Advisory firm - (4/28/2004 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.RR
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
IAR
Louisiana(7/23/2012)
RR
Louisiana(8/28/2018)
IAR
Texas(5/2/2008)
RR
Texas(11/14/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WW
WESTPARK WEALTH ADVISORS, INC.
IMS FINANCIAL ADVISORS, INC. | WESTPARK WEALTH ADVISORS, INC. | WESTPARK WEALTH ADVISORS | WEST PARK WEALTH ADVISORS
CRD#: 130914 / SEC#: 801-63009
RIA
Registered Investment Advisory firm - (4/28/2004 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
13111 Westheimer Rd. Suite 475, Houston, TX 77077
Mailing Address
13111 Westheimer Rd. Suite 475, Houston, TX 77077
Phone number
(713) 266-2993
Established
Firm type
Fiscal year end
# of Employees
27
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.
