Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan T w Bau is a registered investment advisor and has been working in the financial services industry since 1979. Alan is currently registered with SPC. Alan has previously worked at LPL FINANCIAL LLC, PAINEWEBBER INCORPORATED, and EDWARD D. JONES & CO., L.P.. Alan has a strong background in financial planning, portfolio management, and consulting services. Alan provides a wide range of services to individuals, businesses, and pension plans. Alan has a strong track record of success in helping clients achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consultation services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Seminar attendance fees
1
2
CO
01/03/2022 - Present
SPC (COLORADO SPRINGS CO)
CO
10/15/1992 - 06/24/2011
LPL FINANCIAL LLC (COLORADO SPRINGS CO)
NJ
05/24/1989 - 10/22/1992
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
MO
12/26/1979 - 05/16/1989
EDWARD D. JONES & CO., L.P. (ST. LOUIS MO)
BC
Issued 04/03/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/11/1993
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/15/1979
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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