Alec J. Baulch
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alec Jordan Baulch, who also goes by Alec Jordan Baulch, Alec Baulch, Alec J Baulch, Alec J. Baulch, was a registered financial professional .
Alec is a previously registered financial professional and started their career in finance in 2017. Alec had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2024 - February 7, 2025
PRINCIPAL ADVISED SERVICES
October 21, 2024 - November 4, 2024
PRINCIPAL SECURITIES, INC.
October 21, 2024 - February 7, 2025
PRINCIPAL SECURITIES, INC.
March 18, 2024 - May 30, 2024
WELLS FARGO CLEARING SERVICES, LLC
March 14, 2024 - May 30, 2024
WELLS FARGO CLEARING SERVICES, LLC
June 2, 2017 - June 3, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 30, 2017 - June 3, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16,940 |
| AUM (Assets Under Management) | $ 887,316,440 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/20/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
