Andrew Bauch
Professional summary
Andrew Bauch, who also goes by Andrew Thomas Bauch, Andrew T Bauch, is a registered financial professional currently at BMO CAPITAL MARKETS CORP. located in New York, New York.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2018. Andrew has worked at 4 firms and has passed the Series 63, Series 82TO, Series 22TO, Series 99TO, Series 6TO, SIE, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew Bauch's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 19, 2025 - Present
BMO CAPITAL MARKETS CORP.
Office #1: 151 West 42nd St, New York, NY 10036June 30, 2023 - October 28, 2025
WELLS FARGO SECURITIES, LLC
July 22, 2021 - June 26, 2023
SMBC NIKKO SECURITIES AMERICA, INC.
July 6, 2018 - July 25, 2021
WOLFE RESEARCH SECURITIES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/19/2025)
Exams
Series 82TO
Date: 6/30/2023
Limited Representative-Private Securities OfferingsSeries 22TO
Date: 6/30/2023
Direct Participation Programs Representative ExaminationSeries 99TO
Date: 6/30/2023
Operations Professional ExaminationSeries 6TO
Date: 6/30/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
NYSE American LLC
New York Stock Exchange
Current Firm
BMO CAPITAL MARKETS CORP.
CRD#: 16686 / SEC#: 801-73047, 8-34344
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMO FINANCIAL CORP. | SHAREHOLDER | |
| BRICKLEY, THOMAS JOHN | FINANCIAL AND OPERATIONS PRINCIPAL | 3028843 |
| ESTEY, WARREN FRANCIS | MANAGING DIRECTOR, INVESTMENT BANKING | 3114183 |
| FORLENZA, MICHAEL | HEAD, CHIEF OPERATING OFFICER | 5886049 |
| KAHRAMAN, LEVENT | MANAGING DIRECTOR, GLOBAL MARKETS | 2802822 |
| WALISEVER, ARI | CHIEF COMPLIANCE OFFICER | 4425793 |
| WOODWARD, JOEL EDWARD | CHIEF FINANCIAL OFFICER | 5467904 |
Regulatory assets under management
| Total Number of Accounts | 4 |
| AUM (Assets Under Management) | $ 1,210,751,477 |
Disclosures
| Regulatory Event | 46 |
| Civil Event | 1 |
Red Flags
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