Tristan Smith has been an investment adviser representative at Bauer Wealth Management since July 2024, and is not listed among the firm’s executive officers or direct owners.
Bauer Wealth Management Inc. is a Colorado Springs, CO firm with $206M under management, 162 clients and 3 advisers in one office, as of its May 2026 filing.
Tristan Smith is Principal Advisor, Capital and Wealth of Bauer Wealth Management, based in Colorado Springs. He specializes in investment management, portfolio strategy and long-term wealth planning, with experience managing high-net-worth client portfolios at Fidelity Investments. He focuses on working with athletes.
Tristan Smith’s longest registration is the current one, 2 years at Bauer Wealth Management since 2024. Before joining Bauer Wealth Management in 2024, Tristan Smith was registered through Fidelity Personal and Workplace Advisors.
- Bauer Wealth Management Inc.Current– present · 2 yearsColorado Springs, CO · Adviser representative · Firm CRD 152977
- Fidelity Personal and Workplace Advisors– · 1 yearGreenwood Village, CO · Adviser representative · Firm CRD 288590
Professional designations
Listed by Bauer Wealth Management
- Sports & Entertainment Accredited Wealth Management Advisor (SE-AWMA®)
Investment adviser representative registrations
Tristan Smith is registered as an investment adviser representative in 2 states. Each was approved in July 2024.
- ColoradoSince 10 July 2024
- TexasSince 10 July 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 11 July 2022 |
| Series 63 | Uniform Securities Agent State Law Examination | 13 July 2021 |
| Series 7TO | General Securities Representative Examination | 2 July 2021 |
| SIE | Securities Industry Essentials Examination | 24 June 2021 |
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Full name
- Tristan Ouray Smith
- CRD
- 7361738
- Firm
- Bauer Wealth Management · CRD 152977
- Office
- 5755 MARK DABLING BLVD, SUITE 245, Colorado Springs, CO 80919
- Registration
- Investment adviser registration
- In the industry since
- September 2021
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- bauerheitzmann.com
Where does Tristan Smith work?
Tristan Smith is an investment adviser representative registered through Bauer Wealth Management Inc. since July 2024, and is not listed among the firm’s executive officers or direct owners.
Is Tristan Smith a financial advisor?
Yes. Tristan Smith has a current investment-adviser registration in Colorado and Texas, through Bauer Wealth Management since July 2024.
How many years of experience does Tristan Smith have?
Tristan Smith has 5 years in the financial industry, since September 2021, across 2 adviser firms.
What exams has Tristan Smith passed?
Tristan Smith has passed 4 licensing exams: the SIE, Series 7TO, Series 63 and Series 66. The earliest, the SIE, was passed in June 2021.
Where did Tristan Smith work before Bauer Wealth Management?
Before Bauer Wealth Management, Tristan Smith was registered through Fidelity Personal and Workplace Advisors, August 2022 to April 2024.
Where is Tristan Smith based?
Tristan Smith’s registered office is in Colorado Springs, CO.
Is Tristan Smith registered with FINRA?
No. Tristan Smith has no current broker registration.
How can I verify Tristan Smith’s record?
Search CRD 7361738 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Tristan Smith’s full registration record.
