Thomas R. Bauer
STRATEGIC ADVISERS LLC | Financial Consultant
THOMPSON STATION, TN
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CRD#: 6175305
Professional summary
Thomas Ronald Bauer, CFP®, who also goes by Thomas Ronald Bauer, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Thompson Station, Tennessee and FIDELITY BROKERAGE SERVICES LLC located in Franklin, Tennessee.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Thomas has worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Biography
My passion is to make a positive impact on the lives of those around me. As a CERTIFIED FINANCIAL PLANNER practitioner, I enjoy helping clients simplify the complex and working with them to design a plan centered around their goals.
Question & Answer
What are your service offerings?
Small Business Planning
Comprehensive Financial Planni...
Retirement Planning
Education Planning
Retirement Income Management
Insurance Planning
Investment Planning
Estate Planning
Tax Planning
What is your minimum asset requirement?
100K
Are you a "fiduciary"?
Yes
Aliases
Thomas Ronald 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Ronald 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®
CFP®
Start date: 2017
Education
University of Montana
Bachelor of Science (BS) - Business Administration - Management
2009
Experience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 4031 Aspen Grove Dr Suite 490, Franklin, TN 37067-2939RIA
CRD#: 104555
THOMPSON STATION, TN
Current
November 2, 2022 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 4031 Aspen Grove Drive Suite 490, Franklin, TN 37067BD
CRD#: 7784
Franklin, TN
Past
November 15, 2022 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
FRANKLIN, TN
Past
July 8, 2022 - September 20, 2022
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
FRANKLIN, TN
Past
January 28, 2021 - June 22, 2022
FORTUNE FINANCIAL SERVICES, INC.
BD
CRD#: 42150
Spring Hill, TN
Past
October 11, 2013 - March 29, 2016
CURIAN CAPITAL, LLC
RIA
CRD#: 120270
FRANKLIN, TN
Past
May 1, 2013 - January 14, 2021
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 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(11/2/2022)
RR
Arizona(1/3/2025)
RR
Colorado(12/6/2023)
RR
District of Columbia(10/17/2024)
RR
Florida(11/2/2022)
RR
Georgia(11/2/2022)
RR
Illinois(3/1/2024)
RR
Kentucky(11/2/2022)
RR
Louisiana(9/29/2023)
RR
Maryland(9/11/2024)
RR
Missouri(8/6/2024)
RR
New Jersey(7/19/2024)
RR
New York(1/6/2023)
RR
Pennsylvania(12/6/2023)
RR
South Carolina(1/3/2025)
RR
Tennessee(11/2/2022)
IAR
Tennessee(3/31/2025)
RR
Texas(12/16/2024)
IAR
Texas(3/31/2025)
RR
Utah(12/6/2023)
RR
Virginia(6/27/2024)
RR
Wisconsin(1/6/2023)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
Company Information
STRATEGIC ADVISERS LLC
Financial ConsultantCRD#: 104555Thompson Station, TNTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
