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Tristan Ouray Smith

Bauer Wealth Management Inc.

Colorado Springs, CO

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Current Employers
Bauer Wealth Management Inc.

5755 Mark Dabling Blvd Suite 245, Colorado Springs, CO 80919 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2024-07-10
TX RA APPROVED 2024-07-10
  • CO RA
    APPROVED
    Since 2024-07-10
  • TX RA
    APPROVED
    Since 2024-07-10

Branch Locations

5755 Mark Dabling Blvd Suite 245, Colorado Springs, CO 80919 • 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
Fidelity Investments Greenwood Village CO 03/2021 05/2024
Bauer Wealth Management Colorado Springs CO 03/2019 12/2020
Royal Floors Colorado Springs CO 01/2018 02/2019
Bad Daddy'S Burger Bar Fort Collins CO 08/2016 12/2017
Bauer Wealth Management, Inc Colorado Springs CO 07/2024 Present
  • 03/2021 → 05/2024
    Fidelity Investments
    Greenwood Village, CO
  • 03/2019 → 12/2020
    Bauer Wealth Management
    Colorado Springs, CO
  • 01/2018 → 02/2019
    Royal Floors
    Colorado Springs, CO
  • 08/2016 → 12/2017
    Bad Daddy'S Burger Bar
    Fort Collins, CO
  • 07/2024 → Present
    Bauer Wealth Management, Inc
    Colorado Springs, CO
Previous Registrations
  • 2022-08-02 → 2024-04-25
    Fidelity Personal And Workplace Advisors
    Greenwood Village, CO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-07-11
S63 Uniform Securities Agent State Law Examination 2021-07-13
  • S66 Uniform Combined State Law Examination
    2022-07-11
  • S63 Uniform Securities Agent State Law Examination
    2021-07-13
Other Names
  • Tristan Ouray Smith
  • Tristan Smith

View on SEC IAPD

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BENJAMIN F. EDWARDS & COMPANY, INC.
OSAIC WEALTH, INC.

Other Investors

KARLA ROSS
TROY CARLSON
JUSTIN BACKSTROM
JANICA JOLI GILLETTE-BACKSTROM
GARY BACKSTROM
Nicholas Dorsett
Patrick Thomas Healy
Christopher Robert Dorsett

Other Offices

LPL FINANCIAL LLC · COLORADO SPRINGS, CO
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · COLORADO SPRINGS, CO
SEAMOUNT FINANCIAL GROUP INC · COLORADO SPRINGS, CO
UBS FINANCIAL SERVICES INC. · COLORADO SPRINGS, CO
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · COLORADO SPRINGS, CO
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · COLORADO SPGS, CO
BENJAMIN F. EDWARDS & COMPANY, INC. · Colorado Springs, CO
OSAIC WEALTH, INC. · COLORADO SPRINGS, CO

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