Alan K. Goldfarb

NOVAK & POWELL FINANCIAL SERVICES

St. Petersburg, FL 33701

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CRD#: 224200

Professional summary

Alan Keith Goldfarb is a registered financial advisor currently at NOVAK & POWELL FINANCIAL SERVICES, INC. located in St. Petersburg, Florida.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1971. Alan has worked at 18 firms and has passed the Series 65, Series 63, Series 1 and Series 24 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.

Provide financial advisory services for Financial Strategies Advisory Corporation: 14850 Quorum Dr, Suite 350, Dallas, TX 75254. Start date: 01/1975. Time spent: 40 hours per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Keith Goldfarb'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

August 5, 2022 - Present

NOVAK & POWELL FINANCIAL SERVICES, INC.

Office #1: 146 Second St N Suite 310, St. Petersburg, FL 33701

RIA

CRD#: 112970

St. Petersburg, FL

Past

June 3, 2022 - September 7, 2022

XO WEALTH MANAGEMENT

RIA

CRD#: 281767

DALLAS, TX

Past

January 15, 2020 - November 30, 2021

APELLA WEALTH

RIA

CRD#: 171106

DALLAS, TX

Past

November 5, 2014 - January 27, 2020

BACON FINANCIAL MANAGEMENT, INC DBA FINANCIAL STRATEGIES GROUP

RIA

CRD#: 142605

DALLAS, TX

Past

November 30, 2012 - July 1, 2015

CONCERT WEALTH MANAGEMENT

RIA

CRD#: 141253

DALLAS, TX

Past

April 16, 2008 - December 21, 2012

WEAVER TIDWELL CAPITAL, LLC

CRD#: 145871

DALLAS, TX

Past

February 21, 2007 - December 18, 2020

BACON FINANCIAL MANAGEMENT, INC DBA FINANCIAL STRATEGIES GROUP

RIA

CRD#: 142605

DALLAS, TX

Past

June 1, 2005 - June 23, 2008

WOLF FINANCIAL MANAGEMENT, LLC

CRD#: 44225

DALLAS, TX

Past

December 21, 2001 - December 21, 2012

WEAVER WEALTH MANAGEMENT

RIA

CRD#: 115150

DALLAS, TX

Past

February 26, 2001 - December 31, 2003

FINANCIAL STRATEGIES ADVISORY CORPORATION

RIA

CRD#: 114851

DALLAS, TX

Past

February 26, 2001 - June 2, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

March 25, 1999 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

March 25, 1999 - March 7, 2001

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

February 12, 1992 - March 24, 1999

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

July 28, 1983 - December 31, 1991

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

November 2, 1982 - July 5, 1983

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

Past

August 22, 1979 - November 19, 1986

FINANCIAL STRATEGIES INVESTMENT CORPORATION

CRD#: 7989

Past

December 10, 1975 - September 28, 1979

WZW FINANCIAL SERVICES, INC.

CRD#: 5717

Past

April 24, 1975 - October 17, 1983

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

Past

July 15, 1971 - April 15, 1974

FUNDAMENTAL SERVICE CORPORATION

CRD#: 337

Past

July 15, 1971 - October 29, 1975

FINANCIAL SERVICE CORPORATION OF AMERICA

CRD#: 292

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".

NOVAK & POWELL FINANCIAL SERVICES, INC.

CRD#: 112970 / SEC#: 801-108964

RIA

Registered Investment Advisory firm - (1/24/2017 Approved)

Colorado

Registered Investment Advisory firm - (1/31/2017 Terminated)

Florida

Registered Investment Advisory firm - (1/26/2017 Terminated)

Missouri

Registered Investment Advisory firm - (1/26/2017 Terminated)

Texas

Registered Investment Advisory firm - (1/26/2017 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.

Highlighted states indicate IAR registrations

IAR

Texas
(8/5/2022)

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

IAR

Series 65

Date: 5/26/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/29/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 7/13/1971

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/15/1979

General Securities Principal Examination

Current Firm

NOVAK & POWELL FINANCIAL SERVICES, INC.

CRD#: 112970 / SEC#: 801-108964

RIA

Registered Investment Advisory firm - (1/24/2017 Approved)

Colorado

Registered Investment Advisory firm - (1/31/2017 Terminated)

Florida

Registered Investment Advisory firm - (1/26/2017 Terminated)

Missouri

Registered Investment Advisory firm - (1/26/2017 Terminated)

Texas

Registered Investment Advisory firm - (1/26/2017 Terminated)

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Contact information

Main Address

146 Second St N Suite 310, St. Petersburg, FL 33701

Mailing Address

Phone number

(727) 451-3440

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NOVAK & POWELL FINANCIAL SERVICES, INC. DISCLOSURE BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	952
AUM (Assets Under Management)	$ 333,645,585

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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Firm Stability Insights

Alan K. Goldfarb

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Keith Goldfarb's CRS (Customer Relationship Summary).

Certified licenses

Experience

XO WEALTH MANAGEMENT

APELLA WEALTH

BACON FINANCIAL MANAGEMENT, INC DBA FINANCIAL STRATEGIES GROUP

CONCERT WEALTH MANAGEMENT

WEAVER TIDWELL CAPITAL, LLC

BACON FINANCIAL MANAGEMENT, INC DBA FINANCIAL STRATEGIES GROUP

WOLF FINANCIAL MANAGEMENT, LLC

WEAVER WEALTH MANAGEMENT

FINANCIAL STRATEGIES ADVISORY CORPORATION

RAYMOND JAMES FINANCIAL SERVICES, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

CETERA WEALTH SERVICES, LLC

SOUTHMARK FINANCIAL SERVICES, INC.

FINANCIAL STRATEGIES INVESTMENT CORPORATION

WZW FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

FUNDAMENTAL SERVICE CORPORATION

FINANCIAL SERVICE CORPORATION OF AMERICA

Primary Firm SEC Registration

NOVAK & POWELL FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/26/1999

Series 63

Date: 8/29/1980

Series 1

Date: 7/13/1971

Series 24

Date: 8/15/1979

Current Firm

NOVAK & POWELL FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NOVAK & POWELL FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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