Andrew P. Bauer
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.
Andrew Paul Bauer, who also goes by Andrew Bauer, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2005. Andrew had worked at 4 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2012 - November 19, 2024
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC
January 17, 2012 - November 19, 2024
FRANKLIN DISTRIBUTORS, LLC
March 14, 2008 - December 14, 2011
FORESIDE FUND SERVICES, LLC
December 1, 2005 - February 4, 2008
FRANKLIN DISTRIBUTORS, LLC
January 24, 2005 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
Primary Firm SEC Registration
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC
CRD#: 110783 / SEC#: 801-27797
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC
CRD#: 110783 / SEC#: 801-27797
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,060 |
| AUM (Assets Under Management) | $ 66,447,858,097 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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