Alan S. Hopkins

MANCHESTER FINANCIAL

Fernandina Beach, FL

Some features on this profile are disabled

CRD#: 2170692

Professional summary

Alan Scott Hopkins is a registered financial advisor currently at MANCHESTER FINANCIAL INC located in Fernandina Beach, Florida.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Alan has worked at 6 firms and has passed the Series 63, Series 7 and Series 4 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.

Hopkins Consulting Florida LLC, Non-investment related, 2272 Pirates Bay, Fernandina Beach, Fl 32034, Business consulting, position: Owner, Start date; 3/2023, approximate number of hours/month you devote to the other business: 8-15 hours, number of hours you devote to the other business during securities trading hours: ~1 hour a week, describe your duties relating to the other business: Business consulting to companies for their growth

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Scott Hopkins'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

January 15, 2003 - Present

MANCHESTER FINANCIAL INC

RIA

CRD#: 106071

Fernandina Beach, FL

Past

June 9, 2005 - June 8, 2017

WEALTH ENHANCEMENT & PRESERVATION, INC.

RIA

CRD#: 124368

WESTLAKE VILLAGE, CA

Past

July 8, 1997 - December 31, 2002

MANCHESTER FINANCIAL INC

RIA

CRD#: 106071

WESTLAKE VILLAGE, CA

Past

November 1, 1993 - August 11, 1995

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

December 16, 1992 - October 13, 1993

KENNEDY, CABOT & CO.

CRD#: 2417

BEVERLY HILLS, CA

Past

July 7, 1992 - December 16, 1992

FINANCIAL WEST GROUP

CRD#: 16668

RENO, NV

Past

August 26, 1991 - September 18, 1991

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

MANCHESTER FINANCIAL INC

CRD#: 106071 / SEC#: 801-37370

RIA

Registered Investment Advisory firm - (9/14/1990 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

California
(1/15/2003)

IAR

Florida
(1/4/2021)

IAR

Texas
(2/27/2024)

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

Series 63

Date: 7/10/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/23/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 6/1/1993

Registered Options Principal Examination

Current Firm

MANCHESTER FINANCIAL INC

CRD#: 106071 / SEC#: 801-37370

RIA

Registered Investment Advisory firm - (9/14/1990 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2815 Townsgate Road Suite 100, Westlake Village, CA 91361

Mailing Address

Phone number

(805) 495-4405

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/21/2025)

Regulatory assets under management

Total Number of Accounts	1,007
AUM (Assets Under Management)	$ 946,838,290

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Alan S. Hopkins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Scott Hopkins's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEALTH ENHANCEMENT & PRESERVATION, INC.

MANCHESTER FINANCIAL INC

CHARLES SCHWAB & CO., INC.

KENNEDY, CABOT & CO.

FINANCIAL WEST GROUP

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

MANCHESTER FINANCIAL INC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/10/1992

Series 7

Date: 8/23/1991

Series 4

Date: 6/1/1993

Current Firm

MANCHESTER FINANCIAL INC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MANCHESTER FINANCIAL INC

TRUST BUT VERIFY

Similar Advisors