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Detailed Report
ALAN T W BAU
ALAN T BAU
CRD#: 702758
IA
Investment Adviser
B
Broker
SPCCRD#: 110692 703 N TEJON ST SUITE F
COLORADO SPRINGS, CO 80903
PARKLAND SECURITIES, LLCCRD#: 115368 703 N TEJON ST SUITE F
COLORADO SPRINGS, CO 80903
Registration History
19801985199019952000200520102015202020252 FIRMS2011 - Present (13 years)BLPL FINANCIAL LLC (CRD# 6413)1992 - 2011 (18 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1989 - 1992 (3 years)BEDWARD D. JONES & CO., L.P. (CRD# 250)1979 - 1989 (9 years)IALPL FINANCIAL LLC (CRD# 6413)1999 - 2011 (12 years)
Disclosure(s)
View By:
11/2/1999
Customer Dispute
Denied
License(s)

State Registrations

B
Colorado 6/15/2011
IA
Kansas 1/3/2022
IA
Colorado 6/15/2011
B
Massachusetts 9/26/2019
B
Indiana 6/27/2011
B
Texas 11/18/2015

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
SPC (CRD#:110692)
703 N TEJON ST SUITE F, COLORADO SPRINGS, CO 80903
Registered with this firm since 6/15/2011
B
PARKLAND SECURITIES, LLC (CRD#:115368)
703 N TEJON ST SUITE F, COLORADO SPRINGS, CO 80903
Registered with this firm since 6/15/2011
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/01/1999 - 06/24/2011 LPL FINANCIAL LLC (CRD#:6413) COLORADO SPRINGS, CO
B
 10/15/1992 - 06/24/2011 LPL FINANCIAL LLC (CRD#:6413) COLORADO SPRINGS, CO
B
 05/24/1989 - 10/22/1992 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
 12/26/1979 - 05/16/1989 EDWARD D. JONES & CO., L.P. (CRD#:250) ST. LOUIS, MO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.