Alan Besterman

FSP ADVISORS

East Chatham, NY

Some features on this profile are disabled

CRD#: 1036570

Professional summary

Alan Besterman is a registered financial advisor currently at FSP ADVISORS, INC. located in East Chatham, New York and LEIGH BALDWIN & CO., LLC located in Rochester, New York.

Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Alan has worked at 9 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

2017- Investment Advisor though FSP Advisors, Inc. investment related, 25 during market hours 2018- NRA CERTIFIED PISTOL INSTRUCTOR; NON INVESTMENT RELATED; NO OWNERSHIP; 2HR/MONTH SPENT DURING MARKET HOURS. 1994- CURRENT- DBA THE BALANCE SHEET, INC. TAX RETURN PREPARATION; 100% OWNER; SEASONAL HOURS 1991- EAST CHATHAM FIRE DEPT; ASSIST CHIEF/ TREASURER/BOOKEEPER (2007), 5 HRS/WEEK, 2 DURING MARKET HOURS, NON INVESTMENT RELATED; 1989- INSURANCE SALES, EMPLOYEE BENEFITS; SEASONAL HOURS DURING TRADING HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Besterman'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®

None

Experience

Current

April 17, 2021 - Present

FSP ADVISORS, INC.

RIA

CRD#: 158482

East Chatham, NY

Current

September 30, 2008 - Present

LEIGH BALDWIN & CO., LLC

Office #1: 900 Jefferson Road Ste 301, Rochester, NY 14623

RIA

CRD#: 38751

Rochester, NY

Past

January 5, 2007 - September 30, 2008

WALL STREET FINANCIAL GROUP, INC.

CRD#: 35830

EAST CHATHAM, NY

Past

September 2, 2005 - January 10, 2007

INVEST FINANCIAL CORPORATION

CRD#: 12984

EAST CHATHAM, NY

Past

May 3, 1999 - September 7, 2005

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

November 29, 1993 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

May 9, 1991 - September 15, 1992

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

May 6, 1983 - April 19, 1991

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

July 15, 1982 - April 19, 1991

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

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.

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

Colorado
(7/24/2024)

Connecticut
(5/16/2016)

Florida
(11/7/2013)

Massachusetts
(12/5/2014)

New Jersey
(1/23/2017)

New Mexico
(1/19/2017)

New York
(9/30/2008)

IAR

New York
(4/17/2021)

North Carolina
(5/4/2020)

Virginia
(5/4/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/6/2017

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/19/1985

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/12/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/1/2009

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FSP ADVISORS, INC.

FINANCIAL SERVICE PARTNERS ADVISORY | RUIZ, JULIAN, JOAQUIN | LEIGH BALDWIN & CO., LLC | FSP ADVISORS, INC.

CRD#: 158482 / SEC#:

New York

Registered Investment Advisory firm - (10/26/2011 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

900 Jefferson Road Suite 301, Rochester, NY 14623-3238

Mailing Address

900 Jefferson Road Suite 301, Rochester, NY 14623

Phone number

(585) 697-2958

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	233
AUM (Assets Under Management)	$ 32,628,445

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Alan Besterman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Besterman's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEIGH BALDWIN & CO., LLC

WALL STREET FINANCIAL GROUP, INC.

INVEST FINANCIAL CORPORATION

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

CADARET, GRANT & CO., INC.

EQUITABLE ADVISORS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

State Registrations and Notice Filings

Exams

Series 66

Date: 10/6/2017

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/19/1985

Series 6

Date: 7/12/1982

Series 24

Date: 9/1/2009

FINRA

Current Firm

FSP ADVISORS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FSP ADVISORS, INC.

TRUST BUT VERIFY

Similar Advisors