Alan M. Jacobs

WATTS GWILLIAM & COMPANY

Westlake Village, CA 91360

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CRD#: 4267600

Professional summary

Alan Martin Jacobs, CFP®, who also goes by Alan M Jacobs, is a registered financial advisor currently at WATTS GWILLIAM & COMPANY, LLC located in Westlake Village, California.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Alan has worked at 3 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alan M Jacobs

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 Alan Martin Jacobs'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®

CFP^®

Certified Financial Planner

Start date: 1995

Experience

Current

March 17, 2022 - Present

WATTS GWILLIAM & COMPANY, LLC

Office #1: 3717 E. Thousand Oaks Blvd #195, Westlake Village, CA 91360

RIA

CRD#: 131458

Westlake Village, CA

Past

October 19, 2018 - March 24, 2022

CAMBRIDGE WEALTH MANAGEMENT

RIA

CRD#: 127761

WESTLAKE VILLAGE, CA

Past

September 10, 2003 - December 31, 2008

CAMBRIDGE WEALTH MANAGEMENT

RIA

CRD#: 127761

WESTLAKE VILLAGE, CA

Past

January 25, 2001 - September 12, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WESTLAKE VILLAGE, CA

Past

November 9, 2000 - September 12, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

WATTS GWILLIAM & COMPANY, LLC

OPTIC ASSET MANAGEMENT | WATTS GWILLIAM & COMPANY, LLC | WATTS GWILLIAM

CRD#: 131458 / SEC#: 801-63078

RIA

Registered Investment Advisory firm - (4/23/2004 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.

Highlighted states indicate IAR registrations

IAR

California
(3/17/2022)

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 66

Date: 11/29/2000

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 11/8/2000

General Securities Representative Examination

Current Firm

WATTS GWILLIAM & COMPANY, LLC

OPTIC ASSET MANAGEMENT | WATTS GWILLIAM & COMPANY, LLC | WATTS GWILLIAM

CRD#: 131458 / SEC#: 801-63078

RIA

Registered Investment Advisory firm - (4/23/2004 Approved)

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Contact information

Main Address

2730 S. Val Vista Dr. Suite 124, Gilbert, AZ 85295

Mailing Address

Phone number

(480) 889-8998

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WATTS GWILLIAM BROCHURE JANUARY 2025 (2/18/2025)

Regulatory assets under management

Total Number of Accounts	1,152
AUM (Assets Under Management)	$ 818,900,000

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.

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Alan M. Jacobs

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Martin Jacobs's CRS (Customer Relationship Summary).

Certified licenses

Experience

WATTS GWILLIAM & COMPANY, LLC

CAMBRIDGE WEALTH MANAGEMENT

CAMBRIDGE WEALTH MANAGEMENT

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

WATTS GWILLIAM & COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/29/2000

Series 7

Date: 11/8/2000

Current Firm

WATTS GWILLIAM & COMPANY, LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WATTS GWILLIAM & COMPANY, LLC

TRUST BUT VERIFY

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