Best Investors Account Sign in
Inactive

Carlos Arturo Bautista

Ep Wealth Advisors

Torrance, CA

Littleton, CO

Claim This Profile
Current Employers
Ep Wealth Advisors

21535 Hawthorne Blvd Suite 400, Torrance, CA 90503 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-07-10
CA RA APPROVED 2021-01-06
CO RA APPROVED 2021-01-06
  • TX RA
    APPROVED
    Since 2024-07-10
  • CA RA
    APPROVED
    Since 2021-01-06
  • CO RA
    APPROVED
    Since 2021-01-06

Branch Locations

21535 Hawthorne Blvd Suite 400, Torrance, CA 90503 • United States

8081 Shaffer Parkway, Suite 4, Littleton, CO 80127 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Mbsc Securities Corporation Houston TX 01/2015 03/2018
Mml Investors Services, Llc Denver CO 05/2018 12/2020
Massmutual Life Insurance Co Denver CO 05/2018 12/2020
Ep Wealth Advisors Torrance CA 12/2020 Present
  • 01/2015 → 03/2018
    Mbsc Securities Corporation
    Houston, TX
  • 05/2018 → 12/2020
    Mml Investors Services, Llc
    Denver, CO
  • 05/2018 → 12/2020
    Massmutual Life Insurance Co
    Denver, CO
  • 12/2020 → Present
    Ep Wealth Advisors
    Torrance, CA
Previous Registrations
  • 2018-11-20 → 2020-12-18
    Mml Investors Services, Llc
    Greenwood Village, CO
    Denver, CO
  • 2007-01-08 → 2011-08-17
    Curian Capital, Llc
    Denver, CO
  • 2004-03-26 → 2006-12-31
    Curian Capital, Llc
    Denver, CO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-11-13
  • S66 Uniform Combined State Law Examination
    2018-11-13
Designations
Other Names
  • Chuck Arturo Bautista
  • Charles Arturo Bautista
  • Carlos A Bautista
  • Chuck Bautista

View on SEC IAPD

Other Firms

CHARLES SCHWAB & CO., INC.
SOUTH BAY FINANCIAL PARTNERS
STRATOS WEALTH PARTNERS, LTD
EDWARD JONES
AMERIPRISE FINANCIAL SERVICES, LLC
LPL FINANCIAL LLC
SEQUOIA FINANCIAL GROUP, L.L.C.
WELLS FARGO CLEARING SERVICES, LLC

Other Investors

DAWN KIM
RYAN BOMERSBACK
Jordan Luke Opre
LISA MARIE QUARTARONE
MARTHA P HOLLADAY
Marc E Myers
NICOLE ELIZABETH NOVALES
Gilberto Alvarez

Other Offices

CHARLES SCHWAB & CO., INC. · Torrance, CA
SOUTH BAY FINANCIAL PARTNERS · TORRANCE, CA
EP WEALTH ADVISORS · TORRANCE, CA
STRATOS WEALTH PARTNERS, LTD · Torrance, CA
EDWARD JONES · Torrance, CA
AMERIPRISE FINANCIAL SERVICES, LLC · TORRANCE, CA
LPL FINANCIAL LLC · TORRANCE, CA
EDWARD JONES · TORRANCE, CA

More in Torrance, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor