Alec B. Abbott
Professional summary
Alec Bruce Abbott is a registered financial advisor currently at THE NORDEN GROUP LLC located in Newport Beach, California.
Alec is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Alec has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 22 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Alec Bruce Abbott's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 31, 2024 - Present
THE NORDEN GROUP LLC
Office #1: 610 Newport Center Drive Suite 280, Newport Beach, CA 92660November 2, 2020 - May 31, 2024
BAKER TILLY WEALTH MANAGEMENT, LLC
November 2, 2020 - May 31, 2024
BAKER TILLY CAPITAL, LLC
February 28, 2019 - November 2, 2020
DFPG INVESTMENTS, LLC
June 29, 2017 - March 28, 2019
ALLEGIS INVESTMENT SERVICES, LLC
October 31, 2005 - July 5, 2017
OSAIC SERVICES, INC.
January 4, 2005 - January 5, 2005
SUNAMERICA SECURITIES, INC.
December 15, 2004 - October 31, 2005
SUNAMERICA SECURITIES, INC.
April 30, 2001 - December 15, 2004
SMART INVESTMENTS ADVISORY INCORPORATED
February 7, 2001 - November 29, 2001
INDEPENDENT FINANCIAL GROUP, LLC
January 2, 2001 - December 15, 2004
THE SEIDLER COMPANIES INCORPORATED
June 26, 2000 - December 22, 2020
SQUAR MILNER FINANCIAL SERVICES, LLC
December 10, 1999 - January 2, 2001
INDEPENDENT FINANCIAL GROUP, LLC
August 2, 1989 - December 20, 1999
NEW ENGLAND SECURITIES
April 27, 1988 - August 1, 1989
LINCOLN FINANCIAL DISTRIBUTORS, INC.
November 21, 1986 - April 13, 1988
RANCE KING SECURITIES CORP.
January 24, 1986 - February 1, 1989
KATERSKY SECURITIES, INC.
Primary Firm SEC Registration
THE NORDEN GROUP LLC
CRD#: 323988 / SEC#: 801-127137
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(5/31/2024)
(5/31/2024)
Exams
Current Firm
THE NORDEN GROUP LLC
CRD#: 323988 / SEC#: 801-127137
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,220 |
| AUM (Assets Under Management) | $ 1,967,944,101 |
Red Flags
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