Alan M. Eppers

LANTERN WEALTH ADVISORS

Melville, NY 11747

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CRD#: 2113087

Professional summary

Alan Michael Eppers, who also goes by Alan M Eppers, is a registered financial advisor currently at LANTERN WEALTH ADVISORS, LLC located in Melville, New York and HEROLD & LANTERN INVESTMENTS, INC. located in Melville, New York.

Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Alan has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alan M Eppers

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.

Registered Investment Advisor Representative at Lantern Wealth Advisors, an affiliate of Lantern Investments, Inc. Investment Related. Less than 1 hour/month. Insurance agent with Lantern Insurance Brokerage, Inc, an affiliate of Lantern Investments, Inc. Approximately 10 hours/month most of which are during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Michael Eppers'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

February 18, 2016 - Present

LANTERN WEALTH ADVISORS, LLC

Office #1: 35 Pinelawn Road Suite 101e, Melville, NY 11747

RIA

CRD#: 147420

Melville, NY

Current

November 20, 2015 - Present

HEROLD & LANTERN INVESTMENTS, INC.

Office #1: 35 Pinelawn Road Suite 101e, Melville, NY 11747

CRD#: 30996

Melville, NY

Past

August 24, 2010 - November 23, 2015

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

HAUPPAUGE, NY

Past

August 24, 2010 - November 23, 2015

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

HAUPPAUGE, NY

Past

December 16, 2009 - August 30, 2010

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

LAKE SUCCESS, NY

Past

December 16, 2009 - August 30, 2010

EQUITABLE ADVISORS, LLC

CRD#: 6627

LAKE SUCCESS, NY

Past

January 3, 2007 - December 21, 2009

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

HAUPPAUGE, NY

Past

April 13, 2006 - December 21, 2009

OPPENHEIMER & CO. INC.

CRD#: 249

HAUPPAUGE, NY

Past

October 20, 2004 - April 17, 2006

WESTROCK ADVISORS, INC.

CRD#: 114338

NEW YORK, NY

Past

March 3, 2003 - November 9, 2004

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

Past

October 15, 1999 - March 3, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

August 10, 1995 - November 3, 1999

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 11, 1991 - August 9, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

LANTERN WEALTH ADVISORS, LLC

LANTERN ADVISERS LLC | LANTERN WEALTH ADVISORS, LLC

CRD#: 147420 / SEC#: 801-79035

RIA

Registered Investment Advisory firm - (1/15/2014 Approved)

California

Registered Investment Advisory firm - (2/16/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (2/10/2014 Terminated)

New York

Registered Investment Advisory firm - (1/17/2014 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.

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

Colorado
(6/30/2022)

Connecticut
(4/19/2018)

Florida
(11/20/2015)

Minnesota
(3/4/2019)

Nevada
(5/23/2019)

New Jersey
(2/18/2016)

IAR

New Jersey
(2/18/2016)

New York
(11/20/2015)

North Carolina
(11/20/2015)

Pennsylvania
(9/29/2021)

Texas
(1/4/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/26/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/10/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/8/1991

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LANTERN WEALTH ADVISORS, LLC

LANTERN ADVISERS LLC | LANTERN WEALTH ADVISORS, LLC

CRD#: 147420 / SEC#: 801-79035

RIA

Registered Investment Advisory firm - (1/15/2014 Approved)

California

Registered Investment Advisory firm - (2/16/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (2/10/2014 Terminated)

New York

Registered Investment Advisory firm - (1/17/2014 Terminated)

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Contact information

Main Address

35 Pinelawn Road Suite 101e, Melville, NY 11747

Mailing Address

Phone number

(631) 454-2000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LANTERN WEALTH ADVISORS APPENDIX 1 - WRAP BROCHURE (3/31/2025)

ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	379
AUM (Assets Under Management)	$ 265,466,991

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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Advisor Monitoring

Firm Stability Insights

Alan M. Eppers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Michael Eppers's CRS (Customer Relationship Summary).

Certified licenses

Experience

HEROLD & LANTERN INVESTMENTS, INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

WESTROCK ADVISORS, INC.

JANNEY MONTGOMERY SCOTT LLC

PRUDENTIAL EQUITY GROUP, LLC

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

LANTERN WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/26/2006

Series 63

Date: 1/10/1991

SIE

Date: 10/1/2018

Series 7

Date: 1/8/1991

FINRA

Current Firm

LANTERN WEALTH ADVISORS, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LANTERN WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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