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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Bauer is a financial advisor with T. Rowe Price Associates, Inc. Thomas has over 13 years of experience in the financial services industry. Thomas is registered with FINRA and has a Series 7, Series 6, Series 63, Series 66, and Series 24 licenses. Thomas specializes in providing investment advice to individuals, businesses, investment companies, and pooled investment vehicles.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
KS
04/13/2017 - Present
T. Rowe Price Associates, Inc. (Mission Hills KS)
NY
04/08/2014 - 07/27/2015
NEUBERGER BERMAN LLC (NEW YORK NY)
CO
06/09/2011 - 04/18/2014
CURIAN CLEARING, LLC (DENVER CO)
CO
08/18/2010 - 06/14/2011
NATIONAL PLANNING CORPORATION (DENVER CO)
CO
10/23/2007 - 09/01/2010
JACKSON NATIONAL LIFE DISTRIBUTORS LLC (DENVER CO)
CO
08/07/2006 - 10/15/2007
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (DENVER CO)
BOTH
Issued 02/03/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/19/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/31/2019
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/01/2011
Series 7 - General Securities Representative Examination
BC
Issued 08/04/2006
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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