Tristan O. Smith

BAUER WEALTH MANAGEMENT

Colorado Springs, CO 80919

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CRD#: 7361738

Professional summary

Tristan Ouray Smith, who also goes by Tristan Smith, is a registered financial advisor currently at BAUER WEALTH MANAGEMENT INC. located in Colorado Springs, Colorado.

Tristan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Tristan has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tristan Smith

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tristan Ouray Smith's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 10, 2024 - Present

BAUER WEALTH MANAGEMENT INC.

Office #1: 5755 Mark Dabling Blvd Suite 245, Colorado Springs, CO 80919

RIA

CRD#: 152977

Colorado Springs, CO

Past

August 2, 2022 - April 25, 2024

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

GREENWOOD VILLAGE, CO

Past

July 2, 2021 - April 25, 2024

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

GREENWOOD VILLAGE, 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".

BAUER WEALTH MANAGEMENT INC.

BAUER HEITZMANN | BAUER WEALTH MANAGEMENT, LLC. | BAUER WEALTH MANAGEMENT LLC | BAUER WEALTH MANAGEMENT INC. | BAUER WEALTH MANAGEMENT

CRD#: 152977 / SEC#: 801-122717

RIA

Registered Investment Advisory firm - (11/18/2021 Approved)

Colorado

Registered Investment Advisory firm - (12/8/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Colorado
(7/10/2024)

IAR

Texas
(7/10/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/11/2022

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/13/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/2/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/24/2021

Securities Industry Essentials Examination

Current Firm

BAUER WEALTH MANAGEMENT INC.

BAUER HEITZMANN | BAUER WEALTH MANAGEMENT, LLC. | BAUER WEALTH MANAGEMENT LLC | BAUER WEALTH MANAGEMENT INC. | BAUER WEALTH MANAGEMENT

CRD#: 152977 / SEC#: 801-122717

RIA

Registered Investment Advisory firm - (11/18/2021 Approved)

Colorado

Registered Investment Advisory firm - (12/8/2021 Terminated)

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Contact information

Main Address

5755 Mark Dabling Blvd Suite 245, Colorado Springs, CO 80919

Mailing Address

Phone number

(719) 575-9000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BAUER WEALTH MANAGEMENT PART 2A & 2B BROCHURE (11/10/2025)

Regulatory assets under management

Total Number of Accounts	591
AUM (Assets Under Management)	$ 201,656,580

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.

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Advisor Monitoring

Firm Stability Insights

Tristan O. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tristan Ouray Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

BAUER WEALTH MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/11/2022

Series 63

Date: 7/13/2021

Series 7TO

Date: 7/2/2021

SIE

Date: 6/24/2021

Current Firm

BAUER WEALTH MANAGEMENT INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BAUER WEALTH MANAGEMENT INC.

TRUST BUT VERIFY

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