Alin Lozada

Some features on this profile are disabled

CRD#: 2264382

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.

Alin Lozada, who also goes by Alin David Lozada, Alin Elfred Lozada, was a registered financial professional .

Alin is a previously registered financial professional and started their career in finance in 1993. Alin had worked at 14 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Alin David Lozada | Alin Elfred Lozada

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.

06/2014 - PRESENT; SARASOTA WEALTH ADVISORY aka Business Benefits Planning Group, 1800 2ND STREET, STE 725, SARASOTA, FL 34236; INSURANCE/INVESTMENTS, INVESTMENT ADVISORY; HOURS DEDICATED: 20 HRS/WEEK DURING TRADING HOURS 04/2018 - PRESENT; Business Benefits Planning Group, 1800 2ND STREET, STE 725, SARASOTA, FL 34236; INSURANCE/INVESTMENTS, INVESTMENT ADVISORY; HOURS DEDICATED: 20 HRS/WEEK DURING TRADING HOURS

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

May 3, 2023 - July 27, 2023

AEGIS WEALTH MANAGEMENT, INC.

RIA

CRD#: 301990

Lakewood Ranch, FL

Past

October 19, 2018 - April 24, 2023

FOUNDATIONS INVESTMENT ADVISORS LLC

RIA

CRD#: 175083

SARASOTA, FL

Past

July 8, 2014 - October 8, 2018

BROOKSTONE WEALTH ADVISORS, LLC

RIA

CRD#: 137658

SARASOTA, FL

Past

September 7, 2011 - August 7, 2012

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

FORT LAUDERDALE, FL

Past

August 24, 2011 - August 7, 2012

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

FORT LAUDERDALE, FL

Past

June 16, 2010 - August 9, 2011

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

FT. LAUDERDALE, FL

Past

January 26, 2004 - December 1, 2004

LEGACY FINANCIAL SERVICES, INC.

CRD#: 38697

PETALUMA, CA

Past

February 9, 2002 - December 31, 2003

PARKLAND SECURITIES, LLC

CRD#: 115368

ANN ARBOR, MI

Past

July 3, 2000 - February 9, 2002

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

September 23, 1999 - March 28, 2000

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

July 5, 1996 - July 15, 1999

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

March 11, 1996 - June 21, 1996

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

August 22, 1994 - January 16, 1996

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

Past

May 20, 1993 - August 3, 1994

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

March 22, 1993 - August 3, 1994

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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".

AEGIS WEALTH MANAGEMENT, INC.

CRD#: 301990 / SEC#: 801-117179

RIA

Registered Investment Advisory firm - (8/13/2019 Approved)

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.

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: 12/30/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/7/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 8/23/2011

Investment Company Products/Variable Contracts Representative Examination

Current Firm

AEGIS WEALTH MANAGEMENT, INC.

CRD#: 301990 / SEC#: 801-117179

RIA

Registered Investment Advisory firm - (8/13/2019 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

317 State Street, Guthrie Center, IA 50115

Mailing Address

Phone number

(833) 483-8383

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AEGIS WEALTH MANAGEMENT INC. FORM ADV PART 2A BROCHURE (3/10/2025)

Regulatory assets under management

Total Number of Accounts	1,538
AUM (Assets Under Management)	$ 175,971,164

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

Alin Lozada

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FOUNDATIONS INVESTMENT ADVISORS LLC

BROOKSTONE WEALTH ADVISORS, LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

LEGACY FINANCIAL SERVICES, INC.

PARKLAND SECURITIES, LLC

WALNUT STREET SECURITIES, INC.

NATIONAL PLANNING CORPORATION

NYLIFE SECURITIES LLC

WMA SECURITIES, INC.

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

AEGIS WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/30/2009

Series 63

Date: 11/7/1997

Series 6

Date: 8/23/2011

Current Firm

AEGIS WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AEGIS WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

Similar Advisors