AG
Alan B. Gubernick
PROSPERITY - AN EISNERAMPER COMPANY
PHILADELPHIA, PA 19103
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CRD#: 3176789
AG
Professional summary
Alan Bruce Gubernick, who also goes by Alan Gubernick, is a registered financial advisor currently at PROSPERITY - AN EISNERAMPER COMPANY located in Philadelphia, Pennsylvania and DAI SECURITIES, LLC located in Philadelphia, Pennsylvania.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Alan has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alan Gubernick
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. Fixed Insurance Sales, 130 North 18th Street Ste 3000, Philadelphia PA 19103, as of 01/1999, 1% of time spent during business hours; Conducted at branch location; Investment related. 2. 26-28 Centre Associates, LLC, Member/Secretary, a private entity established to own rental real estate; 11/19/1999, 1% of time spent during business hours; Not conducted at branch location, Investment related. 3. Iggles Ambulance, LLC; Owner, as of November, 2014; 0% of time spent during business hours; Not conducted at branch location; Not investment related. Personal use football tailgate vehicle. LLC holds the title of the vehicle for insurance purposes 4. Prosperity - An EisnerAmper Company; 130 North 18th Street Ste 3000, Philadelphia PA 19103, Tax Preparation & Co-Owner, as of 02/01/2021; 70% of time spent during business hours; Conducted at branch; Not investment related. 5. Anti-Defamation League, 605 Third Avenue New York, New York 10158 , Non-Profit, Oversee lay leadership of Educational programing and strategic planning, Board Member, 9/1/2010, 1% 6. Commonwealth National Foundation, 250 Babylon Road Horsham, PA 19041, Plan activities for fundraising and help decide distribution of grants to charities. Board Member, No financial authority. 12/6/2012 7. Zeta Beth Tau Foundation - 1320 City Center Drive Suite 225 Carmel, IN 46032, Serve on the audit committee. Oversee audit process of the foundation and recommendation approval of annual audit to the full board (which I am not a member.) 8. Philadelphia Youth Basketball - 1735 Market Street Philadelphia, PA 19103, 01/28/2021, Non-Profit, Board Member, <1%, 9. Eisner Amper, LLP; non-investment related; start date 2/1/2021; Member/Partner; CPA services; 10% spend during business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Alan Bruce Gubernick'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 15, 2023 - Present
PROSPERITY - AN EISNERAMPER COMPANY
Office #1: 130 N. 18th Street Suite 3000, Philadelphia, PA 19103RIA
CRD#: 133777
PHILADELPHIA, PA
Current
February 16, 2023 - Present
DAI SECURITIES, LLC
Office #1: 130 N. 18 Street Suite 3000, Philadelphia, PA 19002BD
CRD#: 36673
Philadelphia, PA
Past
September 7, 2022 - January 17, 2023
APW CAPITAL, INC.
BD
CRD#: 43814
Philadelphia, PA
Past
September 1, 2022 - November 15, 2023
EISNERAMPER WEALTH MANAGEMENT & CORPORATE BENEFITS, LLC
RIA
CRD#: 121863
Philadelphia, PA
Past
July 21, 2010 - September 6, 2022
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
Phiadelphia, PA
Past
November 2, 2007 - September 6, 2022
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
Phiadelphia, PA
Past
June 25, 2002 - November 8, 2007
CINCINNATI ANALYSTS, INC.
RIA
CRD#: 5478
CONSHOHOCKEN, PA
Past
September 7, 2000 - November 8, 2007
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
CONSHOHOCKEN, PA
Past
July 1, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
July 1, 1999 - April 10, 2000
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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".
P-
PROSPERITY - AN EISNERAMPER COMPANY
PROSPERITY - AN EISNERAMPER COMPANY | THE PROSPERITY CONSULTING GROUP, LLC | PROSPERITY, AN EISNERAMPER COMPANY
CRD#: 133777 / SEC#: 801-96321
RIA
Registered Investment Advisory firm - (5/18/2015 Approved)Florida
Registered Investment Advisory firm - (5/20/2015 Terminated)Maryland
Registered Investment Advisory firm - (5/19/2015 Terminated)Virginia
Registered Investment Advisory firm - (5/20/2015 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
California(2/16/2023)
RR
District of Columbia(5/12/2023)
RR
Florida(2/16/2023)
RR
Georgia(2/16/2023)
RR
Massachusetts(10/20/2023)
RR
New Jersey(2/24/2025)
RR
New York(1/27/2025)
RR
Ohio(2/16/2023)
RR
Pennsylvania(2/16/2023)
IAR
Pennsylvania(11/15/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
P-
PROSPERITY - AN EISNERAMPER COMPANY
PROSPERITY - AN EISNERAMPER COMPANY | THE PROSPERITY CONSULTING GROUP, LLC | PROSPERITY, AN EISNERAMPER COMPANY
CRD#: 133777 / SEC#: 801-96321
RIA
Registered Investment Advisory firm - (5/18/2015 Approved)Florida
Registered Investment Advisory firm - (5/20/2015 Terminated)Maryland
Registered Investment Advisory firm - (5/19/2015 Terminated)Virginia
Registered Investment Advisory firm - (5/20/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
10065 Red Run Boulevard Suite 200, Owings Mills, MD 21117
Mailing Address
Phone number
(410) 363-7211
Established
Firm type
Fiscal year end
# of Employees
66
SEC notice filing (35 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,557 |
| AUM (Assets Under Management) | $ 3,195,898,263 |
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.
