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Thomas Bauer

Strategic Advisers LLC

Thompson Station, TN

Franklin, TN

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Current Employers
Strategic Advisers Llc

155 Seaport Blvd, Boston, MA 02210-2698 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2025-03-31
TX RA APPROVED 2025-03-31
  • TN RA
    APPROVED
    Since 2025-03-31
  • TX RA
    APPROVED
    Since 2025-03-31

Branch Locations

Thompson Station, TN • United States

4031 Aspen Grove Dr Suite 490, Franklin, TN 37067-2939 • 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
Jackson National Life Distributors Llc Franklin TN 03/2013 12/2020
Fortune Financial Services Monaca PA 01/2021 06/2022
Jackson National Life Distributors Franklin TN 06/2022 09/2022
Fidelity Investments Franklin TN 09/2022 Present
Fidelity Investments Boston MA 03/2025 Present
  • 03/2013 → 12/2020
    Jackson National Life Distributors Llc
    Franklin, TN
  • 01/2021 → 06/2022
    Fortune Financial Services
    Monaca, PA
  • 06/2022 → 09/2022
    Jackson National Life Distributors
    Franklin, TN
  • 09/2022 → Present
    Fidelity Investments
    Franklin, TN
  • 03/2025 → Present
    Fidelity Investments
    Boston, MA
Previous Registrations
  • 2022-11-15 → 2025-03-31
    Fidelity Personal And Workplace Advisors
    Franklin, TN
  • 2013-10-11 → 2016-03-29
    Curian Capital, Llc
    Franklin, TN
    Denver, CO
    Denver, CO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-11-09
S65 Uniform Investment Adviser Law Examination 2013-10-11
S63 Uniform Securities Agent State Law Examination 2013-05-11
  • S66 Uniform Combined State Law Examination
    2022-11-09
  • S65 Uniform Investment Adviser Law Examination
    2013-10-11
  • S63 Uniform Securities Agent State Law Examination
    2013-05-11
Designations
Other Names
  • Thomas Bauer
  • Thomas Ronald Bauer

View on SEC IAPD

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