Penny C. Bacharach

ALPHA WEALTH MANAGEMENT AND PLANNING LLC

NOVATO, CA 94949

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CRD#: 1233412

Professional summary

Penny Chin Bacharach, CFP®, who also goes by Penny Bacharach, Penny L Chin, Penny Lee Chin, is a registered financial advisor currently at ALPHA WEALTH MANAGEMENT AND PLANNING LLC located in Novato, California and LPL FINANCIAL LLC located in Novato, California.

Penny is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Penny has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Penny Bacharach | Penny L Chin | Penny Lee Chin

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. 4/3/2008 - OTHER-S CORP. - PENNY CHIN BACHARACH INVESTMENTS - CONVERTED S CORPORATION TO LLC FOR PENNY CHIN BACHARACH INVESTMENTS, LLC. - TIME SPENT 0% - NOVATO, CA. 2. 3/9/2009 - OTHER-HSA - REFERRING CLIENTS TO HSA. - TIME SPENT 0% - NOVATO, CA. 3. 2/26/2013 - REAL ESTATE RENTAL - REAL ESTATE RENTALS - TIME SPENT 10% - LIVERMORE, MANTECA, TIBURON & NOVATO, CA 4. 03/26/2015 - ALPHA WEALTH MANAGEMENT AND PLANNING - REGISTERED INVESTMENT ADVISOR - TIME SPENT 2 HOURS PER MONTH - NOVATO, CA. 5. 12/13/2016 - Sun Life Financial - Investment Related - Home Based - Non-Variable Insurance Trails Only - Started 12/07/2016 - 0 Hours Per Month. 6. 05/16/2023 - 35 Maple St., LLC - Investment Related - Sonoma, CA - Real Estate Rental - Start Date 06/17/2021 - 05 Hours Per Month/0 Hours During Securities Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Penny Chin Bacharach's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Experience

Current

March 6, 2015 - Present

ALPHA WEALTH MANAGEMENT AND PLANNING LLC

Office #1: 40 Caribe Isle, Novato, CA 94949

RIA

CRD#: 163917

NOVATO, CA

Current

January 4, 2005 - Present

LPL FINANCIAL LLC

RIA

CRD#: 6413

NOVATO, CA

Past

January 4, 2005 - May 27, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

January 11, 2002 - January 11, 2005

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

SAN RAFAEL, CA

Past

January 4, 2002 - January 11, 2005

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

May 10, 1994 - January 16, 2002

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

August 13, 1992 - May 4, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

September 27, 1988 - August 5, 1992

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

April 23, 1985 - October 12, 1988

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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".

ALPHA WEALTH MANAGEMENT AND PLANNING LLC

CRD#: 163917 / SEC#: 801-108554

RIA

Registered Investment Advisory firm - (10/27/2016 Approved)

California

Registered Investment Advisory firm - (12/30/2016 Terminated)

Texas

Registered Investment Advisory firm - (6/20/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Arizona
(1/17/2014)

California
(1/4/2005)

IAR

California
(3/6/2015)

Georgia
(1/4/2005)

New York
(1/4/2005)

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 65

Date: 8/22/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/4/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 15

Date: 2/18/1993

Foreign Currency Options Examination

General Industry/Product Exam

Series 3

Date: 6/23/1989

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/20/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/1/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ALPHA WEALTH MANAGEMENT AND PLANNING LLC

CRD#: 163917 / SEC#: 801-108554

RIA

Registered Investment Advisory firm - (10/27/2016 Approved)

California

Registered Investment Advisory firm - (12/30/2016 Terminated)

Texas

Registered Investment Advisory firm - (6/20/2022 Terminated)

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Contact information

Main Address

350 Ignacio Blvd Suite 105, Novato, CA 94949

Mailing Address

Phone number

(415) 506-4569

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - FIRM BROCHURE (3/29/2025)

Regulatory assets under management

Total Number of Accounts	1,411
AUM (Assets Under Management)	$ 355,865,030

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Penny C. Bacharach

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Penny Chin Bacharach's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

PIPER SANDLER & CO.

PRUDENTIAL EQUITY GROUP, LLC

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

ALPHA WEALTH MANAGEMENT AND PLANNING LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/22/2000

Series 63

Date: 2/4/1986

SIE

Date: 10/1/2018

Series 15

Date: 2/18/1993

Series 3

Date: 6/23/1989

Series 7

Date: 4/20/1985

Series 24

Date: 4/1/2005

FINRA

Current Firm

ALPHA WEALTH MANAGEMENT AND PLANNING LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALPHA WEALTH MANAGEMENT AND PLANNING LLC

TRUST BUT VERIFY

Contact information

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