Cody Cliff Bauer

Current Employers

Employment History

• 04/2006 → 11/2017
  Ims Securities, Inc.
  Houston, TX
• 05/2008 → Present
  Ims Financial Advisors, Inc.
  Houston, TX
• 11/2017 → Present
  Calton & Associates, Inc.
  Houston, TX

Other Businesses

No. 1) Name of Business: Bauer's Texas Financial LP. Non-Investment related. Address: 1421 Hwy 124, Winnie, TX 77665. Nature of Business: DBA for Financial Services. Position/Title/Relationship: Owner. Hours per month: 125. Hours per month during Securities trading hours: 90. Duties/Responsibilities: Assist and advise with investment management for retirement. There are a variety of products offered with my business. Those include annuities, mutual funds, brokerage accounts, managed money accounts, and life insurance. No. 2) Name of Business: Winnie Area Chamber of Commerce. Non-Investment related. Address: 327 East Leblanc, Winnie, TX 77665. Nature of Business: Serve as Board of Director for local chamber of commerce. Position/Title/Relationship: Director. Hours per month: 5. Hours per month during Securities trading hours: Less than 2. Duties/Responsibilities: Serve on Board of Directors. No. 3) Name of Business: Westpark Wealth Advisors, Inc. Investment related. Address: 10205 Westheimer Road. Suite 500, Houston, TX 77042. Nature of Business: Advisory Services. Position/Title/Relationship: IAR. Hours per month: 50. Hours per month during Securities trading hours: 75. Duties/Responsibilities: Provide Advisory Management to clients' accounts. No. 4) Name of Business: Bauer Real Estate, LLC. Non-Investment related. Address: 1421 Hwy 124, Winnie, TX 77665. Nature of Business: Used for Tax Purposes. Position/Title/Relationship: Owner. Start Date: 06/2016. Hours per month: 0. Hours per month during Securities trading hours: 0. Duties/Responsibilities: No responsibilities.

Exams

• S65 Uniform Investment Adviser Law Examination
  2008-03-27
• S63 Uniform Securities Agent State Law Examination
  2006-05-30