Alan T W Bau

Employer firm

Spc CRD 110692

$6.10B regulatory AUM 4,483 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Spc

300 Parkland Plaza, Ann Arbor, MI 48103 • United States

Current Registrations

Authority	Category	Status	Date
KS	RA	APPROVED	2022-01-03
CO	RA	APPROVED	2011-06-28

KS RA
APPROVED

Since 2022-01-03
CO RA
APPROVED

Since 2011-06-28

Branch Locations

Colorado Springs, CO • United States

300 Parkland Plaza, Ann Arbor, MI 48103 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Spc	Ann Arbor	MI	06/2011	Present
Parkland Securities	Ann Arbror	MI	08/2014	Present

06/2011 → Present

Spc

Ann Arbor, MI
08/2014 → Present

Parkland Securities

Ann Arbror, MI

Previous Registrations

1999-01-01 → 2011-06-24

Lpl Financial Llc

Colorado Springs, CO

Other Businesses

ALAN BAU INVESTMENTS - OWNER ALAN BAU. LIFE INSURANCE & EQUITY INDEX ANNUITIES, LIFE, HEALTH AND ANNUITY LICENSE. APPROXIMATELY 2 HRS/WK. INDEPENDENT AGENT REPRESENTING VARIOUS INSURANCE COMPANIES.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1981-04-03

S63 Uniform Securities Agent State Law Examination

1981-04-03

Other Names

Alan T Bau

View on SEC IAPD