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William Eric Bauer

Charles Schwab & Co., Inc.

New York City, NY

CRD 2104918

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Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Selection of other advisers
  • WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

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

Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-01-12
NY RA APPROVED 2021-04-22
  • TX RA
    APPROVED
    Since 2022-01-12
  • NY RA
    APPROVED
    Since 2021-04-22

Branch Locations

100 Broadway, New York City, NY 10005 • 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
Morgan Stanley Smith Barney Llc New York NY 12/2015 04/2017
Morgan Stanley Private Bank, N.A. New York NY 03/2016 04/2017
Jpmorgan Chase Bank Na New York NY 04/2017 05/2017
Jpmorgan Securities Llc New York NY 04/2017 05/2017
Clearview Trading Advisors, Inc. New York NY 06/2017 12/2019
Charles Schwab & Co., Inc. New York City NY 07/2020 Present
Charles Schwab Bank, Ssb New York City NY 07/2020 Present
Unemployed New York NY 01/2020 07/2020
  • 12/2015 → 04/2017
    Morgan Stanley Smith Barney Llc
    New York, NY
  • 03/2016 → 04/2017
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 04/2017 → 05/2017
    Jpmorgan Chase Bank Na
    New York, NY
  • 04/2017 → 05/2017
    Jpmorgan Securities Llc
    New York, NY
  • 06/2017 → 12/2019
    Clearview Trading Advisors, Inc.
    New York, NY
  • 07/2020 → Present
    Charles Schwab & Co., Inc.
    New York City, NY
  • 07/2020 → Present
    Charles Schwab Bank, Ssb
    New York City, NY
  • 01/2020 → 07/2020
    Unemployed
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-09-10
S63 Uniform Securities Agent State Law Examination 2008-08-08
S65 Uniform Investment Adviser Law Examination 1998-10-09
  • S66 Uniform Combined State Law Examination
    2020-09-10
  • S63 Uniform Securities Agent State Law Examination
    2008-08-08
  • S65 Uniform Investment Adviser Law Examination
    1998-10-09
Other Names
  • William Eric Bauer
  • Bill Bauer
  • Billy Bauer
  • William Eric Bauer
  • William Bauer

View on SEC IAPD

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