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Alan Bau
46 Years of Experience
Colorado Springs, CO
1 DisclosureBrokerSells Insurance
Alan Bau is a registered investment advisor, based in Colorado Springs, CO, with 46 years of industry experience. Alan is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Colorado Springs, CO
Get directionsHistory
Regulatory History (1)
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Customer Dispute
November 1999Denied
Other Business ActivitiesSells Insurance
Alan owns Alan Bau Investments and is licensed to sell life insurance, equity index annuities, and health insurance. He dedicates a few hours per week to this activity as an independent agent representing various insurance companies.
Employment History
Current Registrations
Parkland Securities, LLCBroker
June 2011 - Present · 15 yrs 4 mos
Spc
June 2011 - Present · 15 yrs 4 mos
Previous Registrations
LPL Financial LLC
January 1999 - June 2011 · 12 yrs 5 mos
LPL Financial LLCBroker
October 1992 - June 2011 · 18 yrs 8 mos
Painewebber IncorporatedBroker
May 1989 - October 1992 · 3 yrs 5 mos
Edward D. Jones & CO., L.P.Broker
December 1979 - May 1989 · 9 yrs 5 mos
State Registrations5 states
COINKSMATX
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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