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AB

Alec D. Bausch

Some features on this profile are disabled
CRD#: 7245729
AB

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 D Bausch, who also goes by Alec Daniel Bausch, was a registered financial professional .

Alec is a previously registered financial professional and started their career in finance in 2020. Alec had worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alec Daniel Bausch

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;

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 12, 2023 - July 29, 2024

AURORA SECURITIES

BD
CRD#: 46147
St. Louis, MO
Past

May 9, 2023 - July 29, 2024

SECURE ASSET MANAGEMENT, L.L.C.

RIA
CRD#: 144046
St. Louis, MO
Past

October 5, 2020 - July 12, 2022

SECURIAN FINANCIAL SERVICES, INC.

RIA
CRD#: 15296
ST. LOUIS, MO
Past

September 8, 2020 - July 12, 2022

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/30/2020
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/8/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/11/2020
Securities Industry Essentials Examination

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)
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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
# of Employees

FINRA licenses (47 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CURTS INVESTMENT, LLCOWNER
KAMEN, LORI BETHPRESIDENT/CCO2805591
SCHAPS, MICHAEL ROBERTFINOP1892138

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.

Company Information

AURORA SECURITIES

CRD#: 46147

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