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Alec D Bausch

CRD# 7245729·Registered 2020 - 2024
Previously Registered: Being a previously registered professional could mean that Alec 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.

Professional Summary

Alec D Bausch, who also goes by Alec Daniel Bausch, was a registered financial advisor. Alec was a previously registered financial professional and started their career in finance 2020 - 2024. Alec had worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Alec Daniel Bausch

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

6 years in the financial services industry

Current & Past Employments

AURORA SECURITIES·CRD# 46147
BD
St. Louis, MO
May 12, 2023 - July 29, 2024
SECURE ASSET MANAGEMENT, L.L.C.·CRD# 144046
RIA
St. Louis, MO
May 9, 2023 - July 29, 2024
SECURIAN FINANCIAL SERVICES, INC.·CRD# 15296
RIA
St. Louis, MO
October 5, 2020 - July 12, 2022
SECURIAN FINANCIAL SERVICES, INC.·CRD# 15296
BD
St. Louis, MO
September 8, 2020 - July 12, 2022

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Current Firm

AS
AURORA SECURITIES

ALASKA CAPITAL MANAGEMENT CORPORAITON | AURORA SECURITIES INC | AURORA SECURITIES

CRD#: 46147 / SEC#: 8-51322
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Contact Information

Main Address

2565 West Maple, Troy, MI 48084

Mailing Address

2565 West Maple, Troy, MI 48084

Phone Number

(888) 548-6701

Established

Michigan since 11/22/2017

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

FINRA licenses (47 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CURTS INVESTMENT, LLCOWNER—
BONYNGE, JEFFREY REDFIELDPRESIDENT7024213
MOORE, PETER ALFRED JRCHIEF COMPLIANCE OFFICER1979755
SCHAPS, MICHAEL ROBERTFINOP1892138

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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) DESMET JESUIT HIGH SCHOOL; POSITION: Employee; NATURE: Trainer/Teacher INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2018; ADDRESS: 233 N New Ballas Rd, St Louis MO 63141, United States; DESCRIPTION: High school- developing young men in both academia and, more specifically for myself, athletics. My roles is to show up for practice after school hours to both teach and participate in the practice. Afterwards, I spend time with the head coach to discuss the day, future opponents, scouting, going over film, and various other activities related to running an organized sports team. 2) 1031 Consulting & Services Group - DBA; Employee - 8740 Big Bend, St. Louis, MO 63119; Securities Related : Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: May 2023 3) Secure Asset Management, Investment Advisor Representative; 8740 Big Bend, St. Louis, MO 63119; Number of Hours - 70 per month 4) Part Time Exchange Processor; Total 1031 Exchange LLC; Investment Related: Yes; 8740 Big Bend Blvd Webster Groves, MO 63119; Qualified intermediary - exchange processing, document retrieval, and title agency coordination.; 2023-12-04; Hours per month devoted to business during trading hours: 10; Hours per month devoted to business outside trading hours: 0; Percentage of total yearly compensation expected to be derived from the business: 0;

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Sep 2020About the Series 66 exam

Series 7TO — General Securities Representative Examination

Passed Sep 2020About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed May 2020About the SIE exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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