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Alan Yakuboff
KINGSVIEW WEALTH MANAGEMENT
Woodbury, NY 11797
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CRD#: 1006119
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Professional summary
Alan Yakuboff, AIF®, who also goes by Alan Jacobs, Alan J Yakuboff, is a registered financial advisor currently at KINGSVIEW WEALTH MANAGEMENT, LLC located in Woodbury, New York.
Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Alan has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 5 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alan Jacobs | Alan J Yakuboff
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Alan Yakuboff'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
April 20, 2021 - Present
KINGSVIEW WEALTH MANAGEMENT, LLC
Office #1: 1000 Woodbury Rd Suite 104, Woodbury, NY 11797RIA
CRD#: 148107
Woodbury, NY
Past
March 19, 2010 - December 31, 2016
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
GARDEN CITY, NY
Past
March 19, 2010 - January 22, 2019
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
GARDEN CITY, NY
Past
June 1, 2009 - March 22, 2010
MORGAN STANLEY
RIA
CRD#: 149777
GARDEN CITY, NY
Past
June 1, 2009 - March 22, 2010
MORGAN STANLEY
BD
CRD#: 149777
GARDEN CITY, NY
Past
April 24, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
GARDEN CITY, NY
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
GARDEN CITY, NY
Past
February 12, 2001 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
GARDEN CITY, NY
Past
September 29, 1995 - February 12, 2001
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
July 31, 1993 - October 10, 1995
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
August 12, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
March 28, 1988 - August 12, 1992
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
November 18, 1987 - March 31, 1988
J. T. MORAN & CO., INC.
BD
CRD#: 15655
Past
May 18, 1984 - December 3, 1987
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Past
October 8, 1981 - May 29, 1984
LEHMAN BROTHERS INC.
BD
CRD#: 7506
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".
KW
KINGSVIEW WEALTH MANAGEMENT, LLC
KINGSVIEW ASSET MANAGEMENT | VERDEO FINANCIAL SERVICES | ROLLO WEALTH MANAGEMENT | PERLMAN GROUP | NORMAN J. POLITZINER, CFP & NJP ASSOCIATES | KNIGHT STRATEGIC WEALTH | KINGSVIEW WEALTH MANAGEMENT, LLC | KINGSVIEW PARTNERS WEALTH MANAGEMENT | KINGSVIEW PARTNERS | KINGSVIEW INVESTMENT STRATEGIES | KINGSVIEW INVESTMENT MANAGEMENT | KINGSVIEW ASSET MANAGEMENT, LLC
CRD#: 148107 / SEC#: 801-79198
RIA
Registered Investment Advisory firm - (2/24/2014 Approved)Arkansas
Registered Investment Advisory firm - (2/26/2014 Terminated)Florida
Registered Investment Advisory firm - (2/26/2014 Terminated)Illinois
Registered Investment Advisory firm - (2/26/2014 Terminated)Iowa
Registered Investment Advisory firm - (2/26/2014 Terminated)Minnesota
Registered Investment Advisory firm - (2/26/2014 Terminated)New York
Registered Investment Advisory firm - (11/8/2013 Cancelled)North Dakota
Registered Investment Advisory firm - (2/26/2014 Terminated)Oregon
Registered Investment Advisory firm - (2/26/2014 Terminated)South Dakota
Registered Investment Advisory firm - (2/26/2014 Terminated)Texas
Registered Investment Advisory firm - (2/26/2014 Terminated)Virginia
Registered Investment Advisory firm - (2/26/2014 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.Highlighted states indicate IAR registrations
IAR
New York(4/20/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
Current Firm
KW
KINGSVIEW WEALTH MANAGEMENT, LLC
KINGSVIEW ASSET MANAGEMENT | VERDEO FINANCIAL SERVICES | ROLLO WEALTH MANAGEMENT | PERLMAN GROUP | NORMAN J. POLITZINER, CFP & NJP ASSOCIATES | KNIGHT STRATEGIC WEALTH | KINGSVIEW WEALTH MANAGEMENT, LLC | KINGSVIEW PARTNERS WEALTH MANAGEMENT | KINGSVIEW PARTNERS | KINGSVIEW INVESTMENT STRATEGIES | KINGSVIEW INVESTMENT MANAGEMENT | KINGSVIEW ASSET MANAGEMENT, LLC
CRD#: 148107 / SEC#: 801-79198
RIA
Registered Investment Advisory firm - (2/24/2014 Approved)Arkansas
Registered Investment Advisory firm - (2/26/2014 Terminated)Florida
Registered Investment Advisory firm - (2/26/2014 Terminated)Illinois
Registered Investment Advisory firm - (2/26/2014 Terminated)Iowa
Registered Investment Advisory firm - (2/26/2014 Terminated)Minnesota
Registered Investment Advisory firm - (2/26/2014 Terminated)New York
Registered Investment Advisory firm - (11/8/2013 Cancelled)North Dakota
Registered Investment Advisory firm - (2/26/2014 Terminated)Oregon
Registered Investment Advisory firm - (2/26/2014 Terminated)South Dakota
Registered Investment Advisory firm - (2/26/2014 Terminated)Texas
Registered Investment Advisory firm - (2/26/2014 Terminated)Virginia
Registered Investment Advisory firm - (2/26/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
509 Se 7th Street 2nd Floor, Grants Pass, OR 97526
Mailing Address
Phone number
(312) 870-6701
Established
Firm type
Fiscal year end
# of Employees
225
SEC notice filing (47 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 24,847 |
| AUM (Assets Under Management) | $ 6,745,495,357 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
