William Eric Bauer

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (6)

SIESeries 7Series 55Series 66Series 63Series 65

Registered states (18)

California · Colorado · Connecticut · District Of Columbia · Florida · Hawaii · Illinois · Maine · Massachusetts · Nevada · New Jersey · New York · North Carolina · Pennsylvania · South Dakota · Tennessee · Texas · Washington

Years in the industry (source record)

27

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

Current firm

From the firm record

Firm

Charles Schwab & Co., Inc.

Firm CRD

5393

SEC number

801-29938

Assets under management

Not yet retrieved from the source record

Website

www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗

Phone

415-667-7000

Firm location

San Francisco, CA, 94105

Employment history (23)

From the source registration record · current first

• Charles Schwab & Co., Inc.Current

  New York City, NY · BC capacity
  start not retrieved → present
• Charles Schwab & Co., Inc.Current

  New York City, NY · IA capacity
  start not retrieved → present
• Charles Schwab & Co., Inc.Current

  New York City, NY · IA capacity
  start not retrieved → present
• Clearview Trading Advisors, Inc.

  Tenafly, NJ · BC capacity
  Jun 12, 2017 → Dec 16, 2019
• J.P. Morgan Securities LLC

  New York, NY · IA capacity
  Apr 24, 2017 → May 30, 2017
• J.P. Morgan Securities LLC

  New York, NY · BC capacity
  Apr 24, 2017 → May 30, 2017
• Morgan Stanley

  New York, NY · IA capacity
  Mar 29, 2016 → Apr 11, 2017
• Morgan Stanley

  New York, NY · BC capacity
  Feb 11, 2016 → Apr 11, 2017
• Ticonderoga Securities LLC

  New York, NY · BC capacity
  Mar 10, 2010 → Oct 13, 2010
• Knight Equity Markets, L.P.

  Jersey City, NJ · BC capacity
  Jun 2, 2009 → Oct 1, 2009
• Newedge USA, LLC

  New York, NY · BC capacity
  Feb 15, 2008 → Jun 16, 2009
• Rbc Capital Markets Corporation

  New York, NY · BC capacity
  Jan 2, 2007 → Feb 22, 2008
• Ladenburg Thalmann Asset Management Inc

  New York, NY · IA capacity
  Jul 14, 2006 → Jan 8, 2007
• Ladenburg Thalmann & Co. Inc.

  New York, NY · BC capacity
  Nov 7, 2005 → Jan 8, 2007
• Carlin Equities, LLC

  New York, NY · BC capacity
  Dec 20, 2006 → Jan 2, 2007
• Exgen Securities LLC

  New York, NY · BC capacity
  Feb 12, 2004 → Nov 8, 2005
• A.B. Watley, Inc.

  New York, NY · BC capacity
  Mar 31, 2003 → Jul 29, 2003
• Fleet Securities, Inc.

  Dallas, TX · BC capacity
  Apr 4, 2001 → Dec 2, 2002
• Merrill Lynch, Pierce, Fenner & Smith Incorporated

  New York, NY · BC capacity
  Sep 17, 1998 → Apr 6, 2001
• Prime Charter Ltd.

  New York, NY · BC capacity
  Dec 20, 1994 → Jun 2, 1998
• Reich & Co., Inc.

  BC capacity
  Aug 21, 1992 → Dec 22, 1994
• A. R. Baron & Co., Inc.

  New York, NY · BC capacity
  Jun 15, 1992 → Sep 10, 1992
• D. H. Blair & Co., Inc.

  New York, NY · BC capacity
  Mar 6, 1991 → May 22, 1992

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.