Blake Bauer is a registered investment advisor, based in Los Angeles, CA, with 5 years of industry experience. Blake is also registered as a broker, so some compensation may come from commissions on products sold.
Location
515 South Flower Street, Los Angeles, CA, 90071
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Tcw Funds Distributors LLC
August 2022 - Present · 4 yrs 2 mos
Tcw Investment Management Company LLC
August 2022 - Present · 4 yrs 2 mos
Tcw Funds Distributors LLCBroker
August 2022 - Present · 4 yrs 2 mos
Previous Registrations
W&s Brokerage Services, INC.
March 2021 - March 2022 · 1 yr
W&s Brokerage Services, INC.Broker
September 2020 - March 2022 · 1 yr 6 mos
State Registrations1 state
CA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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