Connor J. Bauer
Professional summary
Connor James Bauer, who also goes by Connor Bauer, is a registered financial advisor currently at CITY NATIONAL ROCHDALE located in Beverly Hills, California and CNR SECURITIES, LLC located in Beverly Hills, California.
Connor is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Connor has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Connor James Bauer's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 23, 2022 - Present
CITY NATIONAL ROCHDALE
Office #1: 400 North Roxbury Drive, Beverly Hills, CA 90210December 21, 2017 - Present
CNR SECURITIES, LLC
Office #1: 400 N Roxbury Dr 7th Floor, Beverly Hills, CA 90210Primary Firm SEC Registration
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/30/2025)
(7/3/2025)
(8/23/2022)
(8/23/2022)
(5/30/2025)
(5/29/2025)
(5/29/2025)
Exams
FINRA
Current Firm
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
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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