AN
Alan P. Niemann
ADAPTATION FINANCIAL ADVISORS
Oklahoma City, OK 73114
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CRD#: 1244350
AN
Professional summary
Alan Philip Niemann is a registered financial advisor currently at ADAPTATION FINANCIAL ADVISORS INC. located in Oklahoma City, Oklahoma and CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Westerville, Ohio.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Alan has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 51 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.
1.NIEMANN MORGAN HORSE, HORSE BREEDING, 11700 N BRYANT AVE, OKLAHOMA CITY, OK, NIR, 01/01/18, NIR, 20 HR/MO- 0/TRADING HR. 2.NIEMANN RANCH FLP, CO-TRUSTEE, FAMILY LIMITED PARTNERSHIP HELD IN TRUST, AGRICULTURE, 8550 MANNING RD EL RENO OK 73036, STARTED AUGUST 8 2014, APPROXIMATELY 10 HOURS PER MONTH NONE DURING SECURITIES TRADING HOURS. 3.NIEMANN CATTLE COMPANY, A LIVESTOCK BREEDING COMPANY, NIR, 20 HR/MO- 0/TRADING HR. 4.MILLENNIUM LLC, 700 CEDAR LAKE BLVD, OKLAHOMA CITY OK, 90% OWNER/MANAGER, COMMERCIAL REAL ESTATE, NIR, 09/01/99, APPROXIMATELY 3/WK- NONE DURING TRADING HOURS. 5.DIVERSIFIED INSURANCE BROKERAGE ASSOCIATES, LLC, 700 CEDAR LAKE BLVD OKLAHOMA CITY,OK 03/01/18, NIR, 1/3 OWNER, INSURANCE AGENCY, 10 HR/MONTH, 5/TRADING HR. 6.TNF INVESTMENTS, LLC, 11700 N BRYANT AVE, OKLAHOMA CITY, OK, OWNER MANAGER, LLC- 06/01/20, NIR, 0/M0-0/TRADING-INACTIVE ENTITY 7.CAMBRIDGE INVESTMENT RESEARCH ADVISORS, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING 08/31/20 8.APN ADAPTATION HOLDING COMPANY, LLC, 700 CEDAR LAKE BLVD, OKLAHOMA CITY, OK, LLC OWNER/MANAGER, 06/01/20, NIR, 0/YR- 0/TRADING 9.AVERY ASHTON, COM, 11700 N BRYANT AVE, OKLAHOMA CITY, OK, OWNER MANAGER, LLC, 01/04/10, NIR, 0/YR- 0/TRADING;INACTIVE ENTITY 10.ADAPTATION FINANCIAL, 700 CEDAR LAKE BLVD, OKLAHOMA CITY, OK, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 06/01/20, NIR, CEO/FOUNDER, 50/WK- 30/TRADING. IT ALSO PROVIDES AS OF 10/2022, IAR, NETWORKING, INV REL, 7 HR/MO - 2 HR/MO TRADING AND 11/2022, AGENT, REINSURANCE, NIR, 10 HR/MO - 2 HR/MO TRADING. 11.NIEMANN & ASSOCIATES, 700 CEDAR LAKE BLVD, OKLAHOMA CITY, OK, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 05/01/00, INV REL, CEO & FOUNDER, 0/YR- 0/TRADING 12.MDK FINANCIAL GROUP, 1912 BRANARD STREET, HOUSTON, TX, STOCK PURCHASE, BENEFICIAL SHAREHOLDER, 1 HR/MO- 0/TRADING HR. MDK FINANCIAL GROUP INC IS 100% OWNED BY ADAPTATION FINANCIAL ADVISORS INC. 13. MDK, 700 CEDAR LAKE BLVD, OKLAHOMA CITY, OK, 02/2023, BOARD MEMBER, NIR, 3 HR/MO, 0 HR/MO TRADING. 14. ALAN P NIEMANN, Oklahoma City OK 73114, 09/2023, Investment Committee, Volunteer, INV REL, 3 HR/MO - 2 Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Alan Philip Niemann'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®
NoneExperience
Current
August 31, 2020 - Present
ADAPTATION FINANCIAL ADVISORS INC.
Office #1: 700 Cedar Lake Blvd, Oklahoma City, OK 73114RIA
CRD#: 309192
Oklahoma City, OK
Current
August 31, 2020 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 100 Dorchester Square Suite 102, Westerville, OH 43081Office #2: 1912 Branard St., Houston, TX 77098Office #3: 700 Cedar Lake Blvd., Oklahoma City, OK 73114RIA
CRD#: 134139
Westerville, OH
Current
August 31, 2020 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 100 Dorchester Square Suite 102, Westerville, OH 43081Office #2: 15851 Dallas Pkwy Ste. 600, Addison, TX 75001Office #3: 1912 Branard St., Houston, TX 77098Office #4: 700 Cedar Lake Blvd., Oklahoma City, OK 73114BD
CRD#: 39543
Westerville, OH
Past
November 2, 2018 - September 9, 2020
OSAIC WEALTH, INC.
RIA
CRD#: 23131
DALLAS, TX
Past
November 2, 2018 - September 9, 2020
OSAIC WEALTH, INC.
BD
CRD#: 23131
DALLAS, TX
Past
January 1, 2000 - November 2, 2018
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
OKLAHOMA CITY, OK
Past
May 18, 1999 - November 2, 2018
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
OKLAHOMA CITY, OK
Past
May 23, 1984 - May 18, 1999
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)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.RR
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
RR
Alabama(8/31/2020)
RR
Arizona(8/31/2020)
RR
Arkansas(8/31/2020)
RR
California(8/31/2020)
RR
Colorado(8/31/2020)
RR
Georgia(8/31/2020)
RR
Illinois(8/31/2020)
RR
Indiana(8/31/2020)
RR
Kansas(8/31/2020)
RR
Louisiana(8/31/2020)
RR
Minnesota(8/31/2020)
RR
Mississippi(8/31/2020)
RR
Missouri(8/31/2020)
IAR
Nebraska(9/4/2020)
RR
Nevada(8/31/2020)
RR
New York(5/5/2025)
RR
North Carolina(9/9/2020)
RR
North Dakota(8/31/2020)
RR
Ohio(8/31/2020)
IAR
Ohio(8/31/2020)
RR
Oklahoma(8/31/2020)
IAR
Oklahoma(8/31/2020)
RR
South Carolina(8/31/2020)
RR
Texas(8/31/2020)
IAR
Texas(8/31/2020)
RR
Virginia(8/31/2020)
RR
Washington(8/31/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
