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Blake James Bauer

Rbc Capital Markets, LLC

Brookfield, WI

Milwaukee, WI

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Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2025-05-06
MN RA APPROVED 2024-08-21
  • WI RA
    APPROVED
    Since 2025-05-06
  • MN RA
    APPROVED
    Since 2024-08-21

Branch Locations

18500 W Corporate Drive Suite 100, Brookfield, WI 53045 • United States

Milwaukee, WI • 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
Rbc Capital Markets, Llc Brookfield WI 02/2022 Present
Hays Solutions Minneapolis MN 08/2021 02/2022
Northwestern Mutual Appleton WI 01/2021 07/2021
Approyo Brookfield WI 05/2019 08/2019
Bank First Oshkosh WI 05/2020 08/2020
Commonwealth Construction Fond Du Lac WI 05/2017 08/2017
Muza Sheet Metal Oshkosh WI 06/2018 08/2018
St Mary's Springs Academy Fond Du Lac WI 03/2013 05/2017
University Of Wisconsin - La Crosse La Crosse WI 08/2017 05/2018
University Of Wisconsin - La Crosse La Crosse WI 08/2018 05/2019
University Of Wisconsin - La Crosse La Crosse WI 08/2019 05/2020
University Of Wisconsin - La Crosse La Crosse WI 08/2020 05/2021
  • 02/2022 → Present
    Rbc Capital Markets, Llc
    Brookfield, WI
  • 08/2021 → 02/2022
    Hays Solutions
    Minneapolis, MN
  • 01/2021 → 07/2021
    Northwestern Mutual
    Appleton, WI
  • 05/2019 → 08/2019
    Approyo
    Brookfield, WI
  • 05/2020 → 08/2020
    Bank First
    Oshkosh, WI
  • 05/2017 → 08/2017
    Commonwealth Construction
    Fond Du Lac, WI
  • 06/2018 → 08/2018
    Muza Sheet Metal
    Oshkosh, WI
  • 03/2013 → 05/2017
    St Mary's Springs Academy
    Fond Du Lac, WI
  • 08/2017 → 05/2018
    University Of Wisconsin - La Crosse
    La Crosse, WI
  • 08/2018 → 05/2019
    University Of Wisconsin - La Crosse
    La Crosse, WI
  • 08/2019 → 05/2020
    University Of Wisconsin - La Crosse
    La Crosse, WI
  • 08/2020 → 05/2021
    University Of Wisconsin - La Crosse
    La Crosse, WI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-08-21
  • S66 Uniform Combined State Law Examination
    2024-08-21

View on SEC IAPD

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WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
WHN INVESTOR SERVICES, INC.

Other Investors

DEANNE E PHILLIPS
MATTHEW ROSS KRENKE
Eric Gustav Strom
Thomas James Berkholtz
Heather Christine Shutta
Jeffrey Lynn Stanich
Clayton Joel Beilfuss
Logan Alexander Kepler

Other Offices

ANNEX WEALTH MANAGEMENT, LLC · BROOKFIELD, WI
MARINER · BROOKFIELD, WI
M HOLDINGS SECURITIES, INC. · Brookfield, WI
STATE FARM INVESTMENT MANAGEMENT CORP. · Brookfield, WI
AMERIPRISE FINANCIAL SERVICES, LLC · Brookfield, WI
ENTASIS ASSET MANAGEMENT LLC · Brookfield, WI
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · BROOKFIELD, WI
WHN INVESTOR SERVICES, INC. · BROOKFIELD, WI

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