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Alan M. Horwitz

Some features on this profile are disabled
CRD#: 1711635
AH

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Alan M Horwitz, who also goes by Alan Michael Horwitz, was a registered financial professional .

Alan is a previously registered financial professional and started their career in finance in 1988. Alan had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alan Michael Horwitz

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 19, 2008 - March 19, 2019

FFEC WEALTH PARTNERS LLC

RIA
CRD#: 16507
SCOTTSDALE, AZ
Past

March 18, 2008 - March 19, 2019

FFEC WEALTH PARTNERS LLC

BD
CRD#: 16507
SCOTTSDALE, AZ
Past

November 20, 2006 - March 24, 2008

OSAIC SERVICES, INC.

RIA
CRD#: 133763
SCOTTSDALE, AZ
Past

November 6, 2006 - March 24, 2008

OSAIC SERVICES, INC.

BD
CRD#: 133763
SCOTTSDALE, AZ
Past

November 11, 2004 - November 13, 2006

FFEC WEALTH PARTNERS LLC

BD
CRD#: 16507
SCOTTSDALE, AZ
Past

December 16, 2002 - November 19, 2004

CETERA ADVISORS LLC

RIA
CRD#: 10299
PHOENIX, AZ
Past

December 16, 2002 - November 19, 2004

CETERA ADVISORS LLC

BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past

August 1, 2002 - December 10, 2002

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
SUN CITY, AZ
Past

May 28, 2002 - December 10, 2002

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
SAN FRANCISCO, CA
Past

September 16, 1999 - May 20, 2002

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

December 4, 1991 - September 17, 1999

CUE FINANCIAL GROUP, INC.

BD
CRD#: 21033
PHOENIX, AZ
Past

December 14, 1990 - January 3, 1992

G. R. PHELPS & CO., INC.

BD
CRD#: 173
Past

October 12, 1988 - November 1, 1990

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

BD
CRD#: 5774
Past

February 24, 1988 - August 23, 1988

GREEN HILL FINANCIAL SERVICE CORPORATION

BD
CRD#: 4882

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/31/2002
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/26/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/19/1987
General Securities Representative Examination

Current Firm

FW
FFEC WEALTH PARTNERS LLC
155 PRIVATE WEALTH MANAGEMENT | YS ASSET MANAGEMENT | YANOFSKY WEALTH MANAGEMENT | WELLS ASSET MANAGEMENT | TAYLOR INSURANCE & FINANCIAL SERVICES | SPICER PRIVATE WEALTH MANAGEMENT | SITZMAN BONNER WEALTH MANAGEMENT | SIMONSON WEALTH MANAGEMENT | SILVER BIRCH ADVISORS | SELF WEALTH MANAGEMENT | SAGE WEALTH MANAGEMENT | PEAK FINANCIAL MANAGEMENT | NOWFEL PRIVATE WEALTH MANAGEMENT | MULENFELD & HUISH | LINDAU CAPITAL MANAGEMENT | HERMES WEALTH MANAGEMENT | HAWKPEAK CONSULTING GROUP | HALL WEALTH STRATEGIES | GIBSON WEALTH MANAGEMENT | GIAGER WEALTH MANAGEMENT | FIRST FINANCIAL OF ASPEN | FIRST FINANCIAL EQUITY CORPORATION | FIDUCIARY 401K ADVISORS | FFEC WEALTH PARTNERS LLC | FFEC | EXECUTIVE WEALTH PLANNING | ESPINOZA PRIVATE WEALTH MANAGEMENT | EDWARD GEORGE WEALTH MANAGEMENT | DKGBFINANCIAL GROUP | DISCIPLINED ADVISORS GROUP | DILDAY & ASSOCIATES | CARDIEL CAPITAL MANAGEMENT | BARON FINANCIAL GROUP | ARTFX FINANCIAL PLANNING

CRD#: 16507 / SEC#: 801-63970, 8-34082

BD
Terminated by SEC on 10/22/2022
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Contact information

Main Address
7047 E Greenway Parkway Suite 350, Scottsdale, AZ 85254
Mailing Address
Phone number
(480) 951-0079
Established
Arizona since 06/02/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
174

Documents

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE (2/3/2022)
FORM ADV 2A (2/3/2022)

Direct owners and executive officers

NamePositionCRD#
SITZMAN, ANDREW LEECFO, CCO6877630

Regulatory assets under management

Total Number of Accounts5,755
AUM (Assets Under Management)$ 2,371,850,816

Disclosures

Regulatory Event8
Arbitration1

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.

Company Information

FFEC WEALTH PARTNERS LLC

CRD#: 16507

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