TB
Thomas E. Bauer
T. ROWE PRICE ASSOCIATES
Mission Hills, KS
Some features on this profile are disabled
CRD#: 5191821
TB
Professional summary
Thomas Elliot Bauer, CIMA®, who also goes by Thomas Bauer, Tom Bauer, is a registered financial advisor currently at T. ROWE PRICE ASSOCIATES, INC. located in Mission Hills, Kansas and T. ROWE PRICE INVESTMENT SERVICES, INC. located in Baltimore, Maryland.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Thomas has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas Bauer | Tom 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.
I OWN RENTAL PROPERTY GENERATING PASSIVE INCOME. THE OUTSIDE BUSINESS ACTIVITY IS NOT INVESTMENT-RELATED. I WILL RECEIVE INCOME FROM THE PROPERTY STARTING ON JULY 1ST, 2011 AND WILL BE DEVOTING APPROXIMATELY 5 HOURS A MONTH TO THE PROPERTY ALL OF WHICH WILL BE OUTSIDE OF SECURITIES TRADING HOURS. I AM THE LANDLORD AND OWNER. I COLLECT RENT AND MAINTAIN THE PROPERTY AND THOSE ARE THE EXTENT OF MY DUTIES.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Elliot 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
April 11, 2017 - Present
T. ROWE PRICE ASSOCIATES, INC.
RIA
CRD#: 105496
Mission Hills, KS
Current
August 18, 2015 - Present
T. ROWE PRICE INVESTMENT SERVICES, INC.
Office #1: 1307 Point Street, Baltimore, MD 21231BD
CRD#: 8348
BALTIMORE, MD
Past
April 8, 2014 - July 27, 2015
NEUBERGER BERMAN BD LLC
RIA
CRD#: 2908
FAIRWAY, KS
Past
April 8, 2014 - July 27, 2015
NEUBERGER BERMAN BD LLC
BD
CRD#: 2908
NEW YORK, NY
Past
January 12, 2012 - April 18, 2014
CURIAN CAPITAL, LLC
RIA
CRD#: 120270
DENVER, CO
Past
June 9, 2011 - April 18, 2014
CURIAN CLEARING, LLC
BD
CRD#: 132938
DENVER, CO
Past
August 18, 2010 - June 14, 2011
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
DENVER, CO
Past
October 23, 2007 - September 1, 2010
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
DENVER, CO
Past
August 7, 2006 - October 15, 2007
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
DENVER, CO
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".
TR
T. ROWE PRICE ASSOCIATES, INC.
T. ROWE PRICE ASSOCIATES, INC.
CRD#: 105496 / SEC#: 801-856
RIA
Registered Investment Advisory firm - (3/29/1947 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
RR
Alabama(8/18/2015)
RR
Alaska(8/18/2015)
RR
Arizona(8/18/2015)
RR
Arkansas(8/18/2015)
RR
California(8/18/2015)
RR
Colorado(8/18/2015)
RR
Connecticut(8/18/2015)
RR
Delaware(8/18/2015)
RR
District of Columbia(8/18/2015)
RR
Florida(8/18/2015)
RR
Georgia(8/18/2015)
RR
Hawaii(8/18/2015)
RR
Idaho(8/18/2015)
RR
Illinois(8/18/2015)
RR
Indiana(8/18/2015)
RR
Iowa(8/18/2015)
RR
Kansas(8/18/2015)
IAR
Kansas(4/11/2017)
RR
Kentucky(8/18/2015)
RR
Louisiana(8/18/2015)
RR
Maine(8/18/2015)
RR
Maryland(8/18/2015)
IAR
Maryland(4/13/2017)
RR
Massachusetts(8/18/2015)
RR
Michigan(8/18/2015)
RR
Minnesota(8/18/2015)
RR
Mississippi(8/18/2015)
RR
Missouri(8/18/2015)
RR
Montana(8/18/2015)
RR
Nebraska(8/18/2015)
RR
Nevada(8/18/2015)
RR
New Hampshire(8/18/2015)
RR
New Jersey(8/18/2015)
RR
New Mexico(8/18/2015)
RR
New York(8/18/2015)
RR
North Carolina(8/18/2015)
RR
North Dakota(8/18/2015)
RR
Ohio(8/18/2015)
RR
Oklahoma(8/18/2015)
RR
Oregon(8/18/2015)
RR
Pennsylvania(8/18/2015)
RR
Puerto Rico(8/18/2015)
RR
Rhode Island(8/18/2015)
RR
South Carolina(8/18/2015)
RR
South Dakota(8/18/2015)
RR
Tennessee(8/18/2015)
RR
Texas(8/18/2015)
RR
Utah(8/18/2015)
RR
Vermont(8/18/2015)
RR
Virgin Islands(8/18/2015)
RR
Virginia(8/18/2015)
RR
Washington(8/18/2015)
RR
West Virginia(8/18/2015)
RR
Wisconsin(8/18/2015)
RR
Wyoming(8/18/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TR
T. ROWE PRICE ASSOCIATES, INC.
T. ROWE PRICE ASSOCIATES, INC.
CRD#: 105496 / SEC#: 801-856
RIA
Registered Investment Advisory firm - (3/29/1947 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
1307 Point Street, Baltimore, MD 21231
Mailing Address
Phone number
(410) 345-2000
Established
Firm type
Fiscal year end
# of Employees
3,947
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,924 |
| AUM (Assets Under Management) | $ 1,934,233,243,730 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
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.
