Patrick Bauer
Professional summary
Patrick Bauer, who also goes by Patrick R Bauer, Patrick Regan Bauer, is a registered financial professional currently at AW SECURITIES located in Tucson, Arizona.
Patrick is registered as a RR (Registered Representative) and started their career in finance in 2023. Patrick has worked at 3 firms and has passed the Series 63, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Patrick Bauer's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 9, 2026 - Present
AW SECURITIES
Office #1: 3430 E Sunrise Drive Suite 220, Tucson, AZ 85718February 15, 2024 - November 20, 2025
J.P. MORGAN SECURITIES LLC
November 22, 2023 - January 4, 2024
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/23/2026)
Exams
Series 6TO
Date: 11/21/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
AW SECURITIES
CRD#: 103747 / SEC#: 801-69038, 8-52250
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLWORTH FINANCIAL GROUP, L.P. | GENERAL PARTNER | |
| BEATON, DANIEL STEWART | FINOP | 4240769 |
| ERICKSON, RICHARD JOHN | DIRECTOR OF INVESTMENT OPERATIONS | 2704674 |
| FRIZE, BERNARD JOSEPH JR | CHIEF COMPLIANCE OFFICER - BD | 2366022 |
| GAMBLE, COREY C | CHIEF COMPLIANCE OFFICER - IA/ENTERPRISE CCO | 4919573 |
| GREENBERG, BARRY YALE | CHIEF LEGAL COUNSEL | 5863733 |
| GRIGSBY, GARY LAWSON | CEO | 3167632 |
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.
