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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2019-09-24
TX RA APPROVED 2019-01-03
  • OH RA
    APPROVED
    Since 2019-09-24
  • TX RA
    APPROVED
    Since 2019-01-03

Branch Locations

20 E Broad St, Columbus, OH 43215 • 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
Santander Bank Na Brooklyn NY 09/2015 02/2017
Santander Securities Llc San Juan PR 09/2015 02/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York NY 10/2017 Present
Flushing Bank Brooklyn NY 05/2017 10/2017
Unemployed Brooklyn NY 02/2017 05/2017
  • 09/2015 → 02/2017
    Santander Bank Na
    Brooklyn, NY
  • 09/2015 → 02/2017
    Santander Securities Llc
    San Juan, PR
  • 10/2017 → Present
    New York, NY
  • 05/2017 → 10/2017
    Flushing Bank
    Brooklyn, NY
  • 02/2017 → 05/2017
    Unemployed
    Brooklyn, NY
Other Businesses

I*2768261, Entity Type: , Name of OBA: THE V M M TR, Address: CINCINNATI, Ohio, 45244, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 09/08/2025, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-11-30
S63 Uniform Securities Agent State Law Examination 2012-08-20
  • S65 Uniform Investment Adviser Law Examination
    2018-11-30
  • S63 Uniform Securities Agent State Law Examination
    2012-08-20
Other Names
  • Chris Bauer
  • Christopher T Bauer
  • Christopher Thomas Bauer
  • Christopher Bauer

View on SEC IAPD

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