JC
Jasin S. Carlen
ALPHA WEALTH MANAGEMENT AND PLANNING LLC
Corte Madera, CA
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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.
1. 4/9/2013: NON-VARIABLE INSURANCE - PROVIDE EXTRA BENEFITS TO MY CLIENTS. FOCUSING ON LONG-TERM CARE, LIFE, AND DISABILITY. - TIME SPENT 10% - CORTE MADERA, CA. 2. 04/22/2022 - Carlen Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 03/28/2022 - 40 Hours Per Month/40 Hours During Securities Trading. 3. 11/28/2023: ALPHA WEALTH MANAGEMENT AND PLANNING LLC; At Reported Business Location(s); Registered Investment Advisor DBA; Inv. related; start date 11/1/2023; 160hrs/mo.; 100 hrs during trading. 4. 11/28/2023: ALPHA WEALTH MANAGEMENT AND PLANNING LLC; DBA - Alpha Wealth Management and Planning; At Reported Business Location(s); Registered Investment Advisor Hybrid; Inv. related; start date 11/1/2023; 160hrs/mo.; 100hrs during trading; I provide investment advisory services through Alpha Wealth Management and Planning, an independent investment advisor firm. I started this business activity in 11/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Jasin Scott Carlen'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
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 94949RIA
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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)Upgrade to AdvisorCheck Premium
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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)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,411 |
| AUM (Assets Under Management) | $ 355,865,030 |
Red Flags
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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, CATRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
