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Alan John Conner

NOVAPOINT CAPITAL

ATLANTA, GA

·CRD# 1989011·34 years experience

Professional Summary

Alan John Conner is a registered financial advisor currently at NOVAPOINT CAPITAL LLC located in Atlanta, Georgia. Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Alan has worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

34 years in the financial services industry

Current & Past Employments

NOVAPOINT CAPITAL LLC·CRD# 173663

RIA

1175 Peachtree St Ne Suite 1825, Atlanta, GA 30361

June 1, 2015 - Present

SPECTRUM ADVISORY SERVICES INC.·CRD# 107741

RIA

Atlanta, GA

July 19, 2012 - November 16, 2015

THOMAS GROUP CAPITAL·CRD# 112901

BD

Atlanta, GA

July 17, 2002 - October 4, 2002

COUNTRYWIDE SECURITIES CORPORATION·CRD# 10598

BD

Calabasas, CA

May 31, 2000 - December 12, 2001

OROSEY & PEPE CAPITAL MARKETS, INC.·CRD# 44151

BD

Rochester, MI

April 27, 1999 - June 9, 2000

OROSEY & PEPE CAPITAL MARKETS, INC.·CRD# 44151

BD

March 11, 1999 - April 5, 1999

THOS. K. WASSERMAN & ASSOCIATES, INC.·CRD# 27826

BD

Boynton Beach, FL

October 22, 1992 - March 21, 1999

EDWARD JONES·CRD# 250

BD

St. Louis, MO

December 20, 1991 - November 9, 1992

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Current Firm

NC

NOVAPOINT CAPITAL LLC

COBALT ADVISORY NETWORK LLC | NOVAPOINT CAPITAL LLC

CRD#: 173663 / SEC#: 801-116881

RIA

Registered Investment Advisory firm - SEC (7/1/2019 Approved)

Colorado

Registered Investment Advisory firm - Colorado (12/31/2018 Terminated)

Georgia

Registered Investment Advisory firm - Georgia (8/23/2019 Terminated)

Texas

Registered Investment Advisory firm - Texas (7/25/2019 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).

Contact Information

Main Address

1175 Peachtree St Ne Suite 1825, Atlanta, GA 30361

Phone Number

(404) 445-7885

# of Employees

6

SEC notice filing (5 States and Territories)

Registered to provide investment advisory services in 5 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A - MARCH 2026 (3/27/2026)

Regulatory Assets Under Management

Total Number of Accounts

812

AUM (Assets Under Management)

$536,175,160

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
Georgia	ERA - Withdrawn	3/11/2015

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

BUSINESS NAME: MY PROFESSIONAL CFO, LLC, LOCATION: 1401 PEACHTREE STREET NE, SUITE 500, ATLANTA, GA 30309 ESTABLISHED: OCTOBER 8, 2010. POSITION/TITLE: OWNER/PRESIDENT THE BUSINESS IS NON-INVESTMENT RELATED. THE NATURE OF THE BUSINESS IS A DOCUMENT FILING AND BOOKKEEPING SERVICE; ASSISTING INDEPENDENT CONTRACTOR PHYSICIANS WITH THE FILING OF CORPORATION PAPERS, ANNUAL REPORTS AND BOARD MEETING MINUTES. THE BUSINESS CAN PROVIDE SIMPLE MONTHLY BOOKKEEPING AND PAYROLL SERVICES; AND, INFORMATION TO PHYSICIANS ABOUT THE TYPES OF TAX-ADVANTAGED VEHICLES AVAILABLE TO THEM. ON A MONTHLY BASIS, APPROXIMATELY EIGHT

(8) HOURS ARE DEVOTED TO THIS BUSINESS. TIME IS OCCASIONALLY SPENT DURING BUSINESS HOURS, WHEN A CLIENT CALL REQUIRES A IMMEDIATE RESPONSE. AT PRESENT, ALL DUTIES ON BEHALF OF THE BUSINESS ARE PERFORMED BY THE OWNER/PRESIDENT.

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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".

NC

NOVAPOINT CAPITAL LLC

COBALT ADVISORY NETWORK LLC | NOVAPOINT CAPITAL LLC

CRD#: 173663 / SEC#: 801-116881

RIA

Registered Investment Advisory firm - SEC (7/1/2019 Approved)

Colorado

Registered Investment Advisory firm - Colorado (12/31/2018 Terminated)

Georgia

Registered Investment Advisory firm - Georgia (8/23/2019 Terminated)

Texas

Registered Investment Advisory firm - Texas (7/25/2019 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.

IAR

California
(11/23/2021)

IAR

Georgia
(6/1/2015)

IAR

Texas
(12/20/2016)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Sep 2002About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1992About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Dec 1991About the Series 7 exam

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CRS (Client Relationship Summary) - RIA

Click below to view Alan John Conner's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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