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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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JC

Jasin S. Carlen

ALPHA WEALTH MANAGEMENT AND PLANNING
Corte Madera, CA
Some features on this profile are disabled
CRD#: 2812112
JC

Professional summary

Jasin Scott Carlen is a registered financial advisor currently at ALPHA WEALTH MANAGEMENT AND PLANNING LLC located in Corte Madera, California and LPL FINANCIAL LLC located in Novato, California.

Jasin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Jasin has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jasin Scott Carlen'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

November 16, 2023 - Present

ALPHA WEALTH MANAGEMENT AND PLANNING LLC

RIA
CRD#: 163917
Corte Madera, CA
Current

March 9, 2010 - Present

LPL FINANCIAL LLC

Office #1: 350 Ignacio Blvd, Suite 105, Novato, CA 94949
RIA
BD
CRD#: 6413
Novato, CA
Past

March 9, 2010 - December 22, 2023

LPL FINANCIAL LLC

RIA
CRD#: 6413
CORTE MADERA, CA
Past

June 1, 2009 - January 27, 2010

MORGAN STANLEY

RIA
CRD#: 149777
MENLO PARK, CA
Past

June 1, 2009 - January 27, 2010

MORGAN STANLEY

BD
CRD#: 149777
MENLO PARK, CA
Past

July 29, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
MENLO PARK, CA
Past

July 29, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
MENLO PARK, CA
Past

May 29, 2007 - February 14, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
SAN FRANCISCO, CA
Past

May 29, 2007 - February 14, 2008

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
SAN FRANCISCO, CA
Past

March 22, 2007 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA
CRD#: 23988
SAN FRANCISCO, CA
Past

November 20, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
SAN FRANCISCO, CA
Past

April 7, 1999 - December 7, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
OAKLAND, CA
Past

January 14, 1999 - December 7, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
OAKLAND, CA
Past

August 27, 1997 - November 13, 1998

BA INVESTMENT SERVICES, INC.

BD
CRD#: 12965
OAKLAND, CA
Past

October 17, 1996 - April 17, 1997

WELLS FARGO SECURITIES INC.

BD
CRD#: 17438
SAN FRANCISCO, CA

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".
AW
ALPHA WEALTH MANAGEMENT AND PLANNING LLC
ALPHA WEALTH MANAGEMENT AND PLANNING LLC

CRD#: 163917 / SEC#: 801-108554

RIA
Registered Investment Advisory firm - (10/27/2016 Approved)
California
Registered Investment Advisory firm - (12/30/2016 Terminated)
Texas
Registered Investment Advisory firm - (6/20/2022 Terminated)

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
Alabama
(8/26/2014)
RR
Arizona
(10/18/2013)
RR
California
(3/9/2010)
IAR
California
(11/16/2023)
RR
Florida
(1/21/2014)
RR
Hawaii
(9/17/2020)
RR
New Jersey
(2/7/2018)
RR
Ohio
(7/5/2011)
RR
Oregon
(5/16/2018)
RR
Pennsylvania
(5/17/2012)
RR
Texas
(5/6/2021)
IAR
Texas
(11/16/2023)
RR
Utah
(11/24/2021)
RR
Washington
(7/8/2010)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/16/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/22/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/11/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/16/1996
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AW
ALPHA WEALTH MANAGEMENT AND PLANNING LLC
ALPHA WEALTH MANAGEMENT AND PLANNING LLC

CRD#: 163917 / SEC#: 801-108554

RIA
Registered Investment Advisory firm - (10/27/2016 Approved)
California
Registered Investment Advisory firm - (12/30/2016 Terminated)
Texas
Registered Investment Advisory firm - (6/20/2022 Terminated)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
350 Ignacio Blvd Suite 105, Novato, CA 94949
Mailing Address
Phone number
(415) 506-4569
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A - FIRM BROCHURE (3/29/2025)

Regulatory assets under management

Total Number of Accounts1,411
AUM (Assets Under Management)$ 355,865,030

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.

Company Information

ALPHA WEALTH MANAGEMENT AND PLANNING LLC

CRD#: 163917Corte Madera, CA

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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