AK
Alan D. Katz
CETERA INVESTMENT ADVISERS LLC
WARRINGTON, PA 18976
Some features on this profile are disabled
CRD#: 264934
AK
Professional summary
Alan David Katz, who also goes by Alan David Katz, Alan D Katz, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Warrington, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Warrington, Pennsylvania.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Alan has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alan David Katz | Alan D Katz
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.
(dba) WEALTH DEVELOPMENT GROUP LLC (WDG LLC); Investment Related; 1352 Easton Road, Warrington, PA; Single Member LLC; Managing Member; Start Date 03/2006; 225 hours per month with the majority of hours per month occurring during trading hours; DBA name used for providing both securities and non-securities products and services to my clients. As the sole member, I provide all aspects of managing the entity, its assets and interaction with clients and providers. >> ADVANCED BENEFIT CONCEPTS; Non-Investment Related; 1352 Easton Road, Warrington, PA; Proprietor; Start Date 01/1985; None - Currently inactive; Provide marketing and management advisory services to small businesses in which a securities/CFG customer is neither a member or an owner. >> QUALIFIED PLAN SERVICES (501(c) 3); Non-Investment Related; 1352 Easton Road, Warrington, PA; Tax Preparation; Owner; Start Date 01/2002; 2-4 hours per month with those hours per month occurring during trading hours; Preparing tax returns for select individuals. >> TEMPLE SINAI OF DRESHER; Non-Investment Related; 1401 N Limekiln Pike, Dresher, PA 19025; Other; Past President and Lifetime Board Member; Start Date 06/1993; 4-5 hours per month with no hours per month occurring during trading hours; Attend meeting of the board and select committees (none of which I chair). >> KR ABELSON POA AND TRUST; Non-Investment Related; West Hills, CA 91304; Other; POA-Attorney-In-Fact and Successor Beneficiary; Start Date 10/2011; Appointed as successor beneficiary to self-settling revocable trust and attorney-in-fact for an immediate family member.
CRS (Client Relationship Summary) - RIA
Click below to view Alan David Katz's 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®
NoneExperience
Current
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1352 Easton Road #14, Warrington, PA 18976RIA
CRD#: 105644
WARRINGTON, PA
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1352 Easton Road #14, Warrington, PA 18976BD
CRD#: 13572
Warrington, PA
Past
October 8, 2018 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Warrington, PA
Past
October 8, 2018 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Warrington, PA
Past
May 13, 2016 - October 15, 2018
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
WARRINGTON, PA
Past
May 13, 2016 - October 15, 2018
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
WARRINGTON, PA
Past
September 4, 2009 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
WARRINGTON, PA
Past
September 4, 2009 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
WARRINGTON, PA
Past
July 17, 2009 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
RIA
CRD#: 3600
WARRINGTON, PA
Past
July 13, 2009 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
WARRINGTON, PA
Past
September 22, 2005 - July 10, 2009
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
WARRINGTON, PA
Past
September 16, 2005 - July 10, 2009
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
WARRINGTON, PA
Past
June 25, 2004 - March 23, 2005
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
WARRINGTON, PA
Past
January 27, 2000 - March 23, 2005
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
Past
June 29, 1998 - December 23, 1999
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(2/20/2025)
RR
California(2/20/2025)
RR
Colorado(2/20/2025)
RR
Delaware(2/20/2025)
RR
Massachusetts(2/20/2025)
RR
New Jersey(2/20/2025)
RR
New York(2/20/2025)
RR
Oregon(2/20/2025)
RR
Pennsylvania(2/20/2025)
IAR
Pennsylvania(2/20/2025)
RR
Virginia(2/20/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
