Alan Lee Pottebaum
Professional Summary
Alan Lee Pottebaum, who also goes by Alan L Pottebaum, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Le Mars, Iowa and NYLIFE SECURITIES LLC located in Le Mars, Iowa. Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Alan has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Alan L Pottebaum
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
OCCIDENTAL ASSET MANAGEMENT, LLC
PACKERLAND BROKERAGE SERVICES, INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
OCCIDENTAL ASSET MANAGEMENT, LLC
PACKERLAND BROKERAGE SERVICES, INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
OCCIDENTAL ASSET MANAGEMENT, LLC
PACKERLAND BROKERAGE SERVICES, INC.
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.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
OCCIDENTAL ASSET MANAGEMENT, LLC
PACKERLAND BROKERAGE SERVICES, INC.
Years of Experience
32 years in the financial services industry
Current & Past Employments
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
OCCIDENTAL ASSET MANAGEMENT, LLC
PACKERLAND BROKERAGE SERVICES, INC.
Current Firm
EAGLE STRATEGIES CORP | EAGLE STRATEGIES LLC
Contact Information
Main Address
51 Madison Avenue 12th Floor, New York, NY 10010Mailing Address
51 Madison Avenue Floor 3b, Room 0304, New York, NY 10010Phone Number
(888) 695-3245# of Employees
3,190SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
133,900AUM (Assets Under Management)
$32,040,850,438Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/27/2026 | Cover Page | Report |
| 01/24/2025 | Cover Page | Report |
| 04/25/2024 | Cover Page | Report |
| 12/20/2023 | Cover Page | Report |
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
OCCIDENTAL ASSET MANAGEMENT, LLC
PACKERLAND BROKERAGE SERVICES, INC.
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.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
OCCIDENTAL ASSET MANAGEMENT, LLC
PACKERLAND BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
EAGLE STRATEGIES CORP | EAGLE STRATEGIES LLC
State Registrations and Notice Filings
(6/26/2025)
(10/14/2022)
(5/10/2001)
(12/17/2024)
(1/31/2020)
(11/28/2023)
(4/20/1994)
(9/9/2008)
(12/16/2021)
(7/1/2004)
(2/5/2002)
(2/7/1995)
(5/16/2011)
(9/28/2022)
(1/30/2025)
(3/18/2021)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 1994About the Series 6 examSRO Registrations
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
OCCIDENTAL ASSET MANAGEMENT, LLC
PACKERLAND BROKERAGE SERVICES, INC.
CRS (Client Relationship Summary) - RIA
Click below to view Alan Lee Pottebaum's CRS (Customer Relationship Summary).
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
OCCIDENTAL ASSET MANAGEMENT, LLC
PACKERLAND BROKERAGE SERVICES, INC.
