Thomas Charles Bauer

Employer firm

Bauer Financial Services, Inc. CRD 120819

$21.2M regulatory AUM

Reported services (Item 5G)

Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers

Bauer Financial Services, Inc.

Sarasota, FL • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2025-03-26
OH	RA	APPROVED	1999-10-06

FL RA
APPROVED

Since 2025-03-26
OH RA
APPROVED

Since 1999-10-06

Branch Locations

Sarasota, FL • 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

Organization	City	State	From	To
Bauer Financial Services, Inc.	Chagrin Falls	OH	01/1994	12/2024
Bauer Financial Services, Inc.	Sarasota	FL	01/2025	Present

01/1994 → 12/2024

Bauer Financial Services, Inc.

Chagrin Falls, OH
01/2025 → Present

Bauer Financial Services, Inc.

Sarasota, FL

Other Businesses

INCOME TAX PREPARATION; Thomas C. Bauer, CPA. It is not investment related. Address: 4715 Cedron Ct., Sarasota FL 34240. Income Tax preparation and planning. Thomas C. Bauer is the President. Start date 1991. Time spent about 120 hours per month on tax preparation. During trading hours the hours spent on tax preparation varies from zero to four hours per trading day depending on tax season schedule. Thomas Bauer is responsible for tax preparation and planning for clients, some of whom are also investment clients but that is not a requirement.