Unclaimed Profile

Kevin G Bauer

BCJ CAPITAL MANAGEMENT, LLC·SCOTTSDALE, Arizona

SIE, Series 6, Series 7, Series 22, Series 63, Series 65CFP ChFC29 years registeredBCJ CAPITAL MANAGEMENT, LLC

8355 EAST HARTFORD DRIVE, SCOTTSDALE, AZ 85255CRD# 1271244Firm CRD# 109376

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Kevin G Bauer · SCOTTSDALE, AZ

Registration

CRD #1271244 · BCJ CAPITAL MANAGEMENT, LLC · 29 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: BCJ CAPITAL MANAGEMENT, LLC

AXA ADVISORS, LLC

Jun 2005 – May 2015

SCOTTSDALE, AZ

MONY SECURITIES CORPORATION

May 2002 – Jun 2005

SCOTTSDALE, AZ

BCJ CAPITAL MANAGEMENT

May 1997 – Jan 2021

SANDY, UT

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 22

Series 63

Series 65

Registration record

First registered · May 28, 1997

Years registered · 29

Professional designations · CFP, ChFC

Disclosure History

2020Criminal·Final Disposition

2014Customer Dispute·Denied

1995Regulatory·Final

3 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

TREK FINANCIAL, LLC

CRD 109376 · SEC 801-58087

AUM

$2.3B

Regulatory assets under management

Employees

4,584 client accounts

Services offered by TREK FINANCIAL, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at TREK FINANCIAL, LLC →

Introduction

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Frequently Asked Questions

What services does Kevin G Bauer offer?

Kevin G Bauer specializes in Financial Planning, Investment Management.

What are Kevin G Bauer's credentials?

Kevin G Bauer holds the following professional designations: CFP, ChFC. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Kevin G Bauer located?

Kevin G Bauer is based in SCOTTSDALE, Arizona, last registered with BCJ CAPITAL MANAGEMENT, LLC.

How does Kevin G Bauer charge for services?

Kevin G Bauer's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is BCJ CAPITAL MANAGEMENT, LLC?

BCJ CAPITAL MANAGEMENT, LLC has approximately 55 employees and manages $2.3B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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