Alan C. Gottlob

PINE VALLEY PRIVATE WEALTH

Marlton, NJ 08053

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CRD#: 1343003

Professional summary

Alan Charles Gottlob is a registered financial advisor currently at PINE VALLEY PRIVATE WEALTH located in Marlton, New Jersey and ETHOS FINANCIAL GROUP, LLC located in King Of Prussia, Pennsylvania.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Alan has worked at 15 firms and has passed the Series 65, Series 63, SIE and Series 7 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.

SHINGLE OAK ADVISORS, LLC; INVESTMENT-RELATED; NJ; REGISTERED INVESTMENT ADVISOR; START DATE: 8/2001; APPROXIMATELY 100 HRS/MO DURING TRADING HOURS. WEST BAY HOLDINGS LTD; NOT INVESTMENT-RELATED; BOARD MEMBER; START DATE: 8/2025; APPROXIMATELY 10 HRS/MO OUTSIDE TRADING HOURS; PROVIDE STRATEGIC, CAPITAL & SOLVENCY & TREATY OVERSIGHT, ACTUARIAL GOVERNANCE AND SIT ON THE COMPENSATION & NOMINATION COMMITTEE. Mr. Gottlob is a licensed insurance agent with various insurance companies, and in such capacity, may recommend, on a fully disclosed commission basis, the purchase of insurance products. The insurance activity is conducted at the same office location, 10 hours/month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Charles Gottlob'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®

None

Experience

Current

October 18, 2017 - Present

PINE VALLEY PRIVATE WEALTH

Office #1: 10 East Stow Road, Suite 200, Marlton, NJ 08053

RIA

CRD#: 289533

Marlton, NJ

Current

August 2, 2024 - Present

ETHOS FINANCIAL GROUP, LLC

Office #1: 2200 Renaissance Blvd Suite 340, King Of Prussia, PA 19406

RIA

CRD#: 321748

King Of Prussia, PA

Past

July 26, 2013 - September 19, 2017

WORLD INVESTMENTS, LLC

CRD#: 20626

VOORHEES, NJ

Past

July 16, 2013 - September 19, 2017

WORLD INVESTMENTS, LLC

RIA

CRD#: 20626

VOORHEES, NJ

Past

August 9, 2011 - July 5, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BALA CYNWYD, PA

Past

June 28, 2011 - July 5, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BALA CYNWYD, PA

Past

June 16, 2011 - August 5, 2011

CPI CAPITAL

RIA

CRD#: 44575

VOORHEES, NJ

Past

April 18, 2011 - August 5, 2011

CPI CAPITAL

CRD#: 44575

VOORHEES, NJ

Past

December 2, 2008 - April 17, 2009

SLOAN SECURITIES CORP.

CRD#: 17930

ENGLEWOOD CLIFFS, NJ

Past

August 10, 2005 - February 27, 2007

SLOAN SECURITIES CORP.

CRD#: 17930

ENGLEWOOD CLIFFS, NJ

Past

May 28, 2003 - December 1, 2003

PRIVATE CONSULTING GROUP, INC.

RIA

CRD#: 45053

CHERRY HILL, NJ

Past

April 2, 2003 - August 17, 2011

SHINGLE OAK ADVISORS, LLC

RIA

CRD#: 120591

VOORHEES, NJ

Past

October 21, 2002 - December 31, 2002

PCG INVESTMENT SERVICES, LLC

RIA

CRD#: 120591

CHERRY HILL, NJ

Past

December 19, 2001 - December 1, 2003

PRIVATE CONSULTING GROUP, INC.

CRD#: 45053

PORTLAND, OR

Past

June 6, 2000 - December 31, 2001

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

Past

September 14, 1998 - June 6, 2000

THE ADVISORS GROUP, INC.

CRD#: 14035

BETHESDA, MD

Past

May 11, 1998 - September 27, 1998

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

Past

August 8, 1996 - November 25, 1997

MESIROW FINANCIAL, INC.

CRD#: 2764

CHICAGO, IL

Past

August 23, 1994 - September 3, 1996

MAFG RIA SERVICES, INC.

CRD#: 35690

MT. LAUREL, NJ

Past

September 1, 1992 - August 23, 1994

FFP SECURITIES, INC.

CRD#: 16337

CHESTERFIELD, MO

Past

February 21, 1985 - August 19, 1992

CINCINNATI ANALYSTS, INC.

CRD#: 5478

CINCINNATI, OH

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".

ETHOS FINANCIAL GROUP, LLC

CRD#: 321748 / SEC#: 801-125779

RIA

Registered Investment Advisory firm - (6/2/2022 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.

Highlighted states indicate IAR registrations

IAR

New Jersey
(10/18/2017)

IAR

Pennsylvania
(8/2/2024)

IAR

Texas
(9/9/2021)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/14/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/20/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/19/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/16/1985

General Securities Representative Examination

Current Firm

ETHOS FINANCIAL GROUP, LLC

CRD#: 321748 / SEC#: 801-125779

RIA

Registered Investment Advisory firm - (6/2/2022 Approved)

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Contact information

Main Address

2200 Renaissance Blvd Suite 340, King Of Prussia, PA 19406

Mailing Address

Phone number

(484) 889-7270

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ETHOS FINANCIAL GROUP BROCHURE (4/23/2025)

Regulatory assets under management

Total Number of Accounts	3,935
AUM (Assets Under Management)	$ 1,576,974,645

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.

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Firm Stability Insights

Alan C. Gottlob

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ETHOS FINANCIAL GROUP, LLC

WORLD INVESTMENTS, LLC

WORLD INVESTMENTS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CPI CAPITAL

CPI CAPITAL

SLOAN SECURITIES CORP.

SLOAN SECURITIES CORP.

PRIVATE CONSULTING GROUP, INC.

SHINGLE OAK ADVISORS, LLC

PCG INVESTMENT SERVICES, LLC

PRIVATE CONSULTING GROUP, INC.

KESTRA INVESTMENT SERVICES, LLC

THE ADVISORS GROUP, INC.

AMERICAN GENERAL SECURITIES INCORPORATED

MESIROW FINANCIAL, INC.

MAFG RIA SERVICES, INC.

FFP SECURITIES, INC.

CINCINNATI ANALYSTS, INC.

Primary Firm SEC Registration

ETHOS FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/14/1999

Series 63

Date: 5/20/1985

SIE

Date: 9/19/2017

Series 7

Date: 2/16/1985

Current Firm

ETHOS FINANCIAL GROUP, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ETHOS FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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