Alan Weingarten
Professional Summary
Alan Weingarten is a registered financial advisor currently at COMPREHENSIVE CAPITAL MANAGEMENT, INC. located in Lynbrook, New York and APW CAPITAL, INC. located in Totowa, New Jersey. Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Alan has worked at 7 firms and has passed the 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
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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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.
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Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
AMERIWEALTH MANAGEMENT | WEINGARTEN FINANCIAL GROUP | SENIOR RESOURCES | RETIREMENT TARGETS | OBERLANDER DORFMAN | JFL TOTAL WEALTH MANAGEMENT | INTERNATIONAL FINANCIAL ADVISORY GROUP | HARPER & HODGE | GIL WOOD & ASSOCIATES | EAST MAIN STREET ADVISORS | DMC WEALTH ADVISORS, LLC | COMPREHENSIVE FINANCIAL SERVICES | COMPREHENSIVE CAPITAL MANAGEMENT, INC. | COMPASS-ION ADVISORS LLC | BACK9 RETIREMENT SOLUTIONS | B&D FINANCIAL SERVICES, INC.
Contact Information
Main Address
999 Riverview Drive Suite 201, Totowa, NJ 07512Phone Number
(973) 394-0404# of Employees
11SEC notice filing (19 States and Territories)
Registered to provide investment advisory services in 19 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
2,334AUM (Assets Under Management)
$77,535,519Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
AMERIWEALTH MANAGEMENT | WEINGARTEN FINANCIAL GROUP | SENIOR RESOURCES | RETIREMENT TARGETS | OBERLANDER DORFMAN | JFL TOTAL WEALTH MANAGEMENT | INTERNATIONAL FINANCIAL ADVISORY GROUP | HARPER & HODGE | GIL WOOD & ASSOCIATES | EAST MAIN STREET ADVISORS | DMC WEALTH ADVISORS, LLC | COMPREHENSIVE FINANCIAL SERVICES | COMPREHENSIVE CAPITAL MANAGEMENT, INC. | COMPASS-ION ADVISORS LLC | BACK9 RETIREMENT SOLUTIONS | B&D FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
(3/12/2009)
(3/12/2009)
(4/1/2021)
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 May 1993About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Alan Weingarten's CRS (Customer Relationship Summary).
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