Alan T. Bunce

COPLEY FINANCIAL GROUP

San Diego, CA 92108

Some features on this profile are disabled

CRD#: 2986040

Professional summary

Alan Thomas Bunce is a registered financial advisor currently at COPLEY FINANCIAL GROUP, INC. located in San Diego, California.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Alan has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 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.

Heritage Tax & Insurance Services; Yes; San Diego, CA; Tax & Insurance services; Chief Operations Director; 06/2024; 140/ HRS MO; 140/ HRS MO

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Thomas Bunce'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

August 1, 2024 - Present

COPLEY FINANCIAL GROUP, INC.

Office #1: 2650 Camino Del Rio North, Suite 350, San Diego, CA 92108

RIA

CRD#: 283070

San Diego, CA

Past

September 9, 2022 - January 10, 2024

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

San Diego, CA

Past

September 9, 2022 - January 10, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

San Diego, CA

Past

February 4, 2013 - December 31, 2020

TD AMERITRADE CLEARING, INC.

CRD#: 5633

OMAHA, NE

Past

March 24, 2006 - October 14, 2022

TD AMERITRADE, INC.

RIA

CRD#: 7870

SAN DIEGO, CA

Past

October 19, 1999 - December 20, 2023

TD AMERITRADE, INC.

CRD#: 7870

SAN DIEGO, CA

Past

February 25, 1998 - August 20, 1998

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

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".

COPLEY FINANCIAL GROUP, INC.

CRD#: 283070 / SEC#: 801-119967

RIA

Registered Investment Advisory firm - (12/14/2020 Approved)

California

Registered Investment Advisory firm - (1/17/2021 Terminated)

New York

Registered Investment Advisory firm - (12/18/2020 Terminated)

Texas

Registered Investment Advisory firm - (12/18/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

California
(8/1/2024)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/28/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/4/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/24/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/2/2005

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 12/20/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 11/21/2001

General Securities Sales Supervisor - Options Module Examination

Current Firm

COPLEY FINANCIAL GROUP, INC.

CRD#: 283070 / SEC#: 801-119967

RIA

Registered Investment Advisory firm - (12/14/2020 Approved)

California

Registered Investment Advisory firm - (1/17/2021 Terminated)

New York

Registered Investment Advisory firm - (12/18/2020 Terminated)

Texas

Registered Investment Advisory firm - (12/18/2020 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2650 Camino Del Rio North, Suite 350, San Diego, CA 92108

Mailing Address

Phone number

(619) 294-6008

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SEC ADV PART 2A (3/25/2025)

Regulatory assets under management

Total Number of Accounts	2,963
AUM (Assets Under Management)	$ 272,683,411

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.

Similar Advisors

Paul Neves

LPL FINANCIAL LLC

IAR

SAN DIEGO, CA

Alice Ruiz

SCHWAB WEALTH ADVISORY, INC.

IAR

San Diego, CA

Nilay Barefield

CETERA INVESTMENT ADVISERS LLC

IAR

San Diego, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Alan T. Bunce

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Thomas Bunce's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE CLEARING, INC.

TD AMERITRADE, INC.

TD AMERITRADE, INC.

CHATFIELD DEAN & CO., INC.

Primary Firm SEC Registration

COPLEY FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/28/2006

Series 63

Date: 3/4/1998

SIE

Date: 10/1/2018

Series 7

Date: 2/24/1998

Series 24

Date: 9/2/2005

Series 10

Date: 12/20/2001

Series 9

Date: 11/21/2001

Current Firm

COPLEY FINANCIAL GROUP, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COPLEY FINANCIAL GROUP, INC.

TRUST BUT VERIFY

Similar Advisors