CB
Clinton L. Bauch
PARK CAPITAL MANAGEMENT
Madison, WI 53713
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CRD#: 2791047
CB
Professional summary
Clinton Lee Bauch, CFP®, who also goes by Clint L Bauch, is a registered financial advisor currently at PARK CAPITAL MANAGEMENT, LLC located in Madison, Wisconsin and PURSHE KAPLAN STERLING INVESTMENTS located in Madison, Wisconsin.
Clinton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Clinton has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Clint L Bauch
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Park Capital Management,LLC. Investment Related. 1601 Greenway Cross, Suite 201, Madison WI 53725; RIA; President/Financial Advisor. START: 10/2011 ; APPROX 40 HRS/WK; PROVIDE INVESTMENT ADVICE; FINANCIAL PLANNING AND ESTATE PLANNING. 2) INSURANCE SALES. Not nvestment Related. 1601 Greenway Cross, Suite 201, Madison WI 53725. Insurance. Agent. Start 10/2011. 3) Ahhhhh!!, LLC. LLC FORMED WITH JEFFREY MACK TO PURCHASE 1 YEAR, 12% CONVERTIBLE NOTES WITH SUNDIAL GROWERS INC OUT OF CALGARY CANADA. PARTNER. NATURE OF INVOLVMENT: INVESTOR. 1 HOUR PER MONTH 4) Mr. Bauch is a licensed insurance agent and may recommend insurance products offered by various insurance carriers. Please be advised that there is a potential conflict of interest in that there is an economic incentive to recommend insurance carriers and other investment products offered through such insurance carriers. Please also be advised that Mr. Bauch strives to put his clients' interests first and foremost, and clients are not obligated to purchase insurance products through Park Capital Management. 5) 1. Caffeine, LLC 2. Investment related 3. 722 Wilder Dr., Madison, WI 53704 4. Investment in private equity type investment 5. Member 6. 4/29/024 7. 0 hrs/mo 8. 0 hrs/mo 9. The LLC is intended for a single investment and there are no other ongoing business activities
CRS (Client Relationship Summary) - RIA
Click below to view Clinton Lee Bauch's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
November 10, 2011 - Present
PARK CAPITAL MANAGEMENT, LLC
Office #1: 1601 Greenway Cross Suite 201, Madison, WI 53713RIA
CRD#: 158965
Madison, WI
Current
July 2, 2012 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 1601 Greenway Cross Suite 201, Madison, WI 53525BD
CRD#: 35747
Madison, WI
Past
August 21, 2009 - July 17, 2012
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
MIDDLETON, WI
Past
August 21, 2009 - July 17, 2012
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
MIDDLETON, WI
Past
September 15, 2005 - August 28, 2009
M&I FINANCIAL ADVISORS, INC
RIA
CRD#: 16517
MADISON, WI
Past
November 16, 1999 - August 28, 2009
M&I FINANCIAL ADVISORS, INC
BD
CRD#: 16517
MADISON, WI
Past
June 30, 1999 - November 11, 1999
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
November 6, 1997 - June 1, 1999
M&I FINANCIAL ADVISORS, INC
BD
CRD#: 16517
MILWAUKEE, WI
Past
September 4, 1996 - November 11, 1997
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PC
PARK CAPITAL MANAGEMENT, LLC
BAUCH WEALTH MANAGEMENT, LLC | PARK CAPITAL MANAGEMENT, LLC | HAUSMANN-JOHNSON BAUCH FINANCIAL, LLC
CRD#: 158965 / SEC#: 801-115013
RIA
Registered Investment Advisory firm - (5/8/2019 Approved)Ohio
Registered Investment Advisory firm - (5/10/2019 Terminated)Wisconsin
Registered Investment Advisory firm - (5/10/2019 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(10/9/2024)
RR
California(7/2/2012)
RR
Florida(7/2/2012)
RR
Massachusetts(7/2/2012)
RR
Minnesota(7/2/2012)
RR
New Mexico(10/13/2021)
RR
Oklahoma(10/13/2021)
IAR
Texas(1/5/2023)
IAR
Wisconsin(11/10/2011)
RR
Wisconsin(7/2/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PC
PARK CAPITAL MANAGEMENT, LLC
BAUCH WEALTH MANAGEMENT, LLC | PARK CAPITAL MANAGEMENT, LLC | HAUSMANN-JOHNSON BAUCH FINANCIAL, LLC
CRD#: 158965 / SEC#: 801-115013
RIA
Registered Investment Advisory firm - (5/8/2019 Approved)Ohio
Registered Investment Advisory firm - (5/10/2019 Terminated)Wisconsin
Registered Investment Advisory firm - (5/10/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1601 Greenway Cross Suite 201, Madison, WI 53713
Mailing Address
Phone number
(608) 440-8608
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,338 |
| AUM (Assets Under Management) | $ 732,763,918 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
PARK CAPITAL MANAGEMENT, LLC
CRD#: 158965Madison, WI 53713TRUST BUT VERIFY
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