Hoby D. Pearce

ALLIANCE ADVISORY & SECURITIES

Westlake Village, CA 91361

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CRD#: 4353948

Professional summary

Hoby Daniel Pearce, CFP® is a registered financial advisor currently at ALLIANCE ADVISORY & SECURITIES, INC. located in Westlake Village, California.

Hoby is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Hoby has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, 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 Hoby Daniel Pearce'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: 2004

Experience

Current

December 3, 2009 - Present

ALLIANCE ADVISORY & SECURITIES, INC.

Office #1: 31248 E. Oak Crest Drive Ste 100, Westlake Village, CA 91361

RIA

CRD#: 18835

Westlake Village, CA

Past

December 2, 2009 - June 21, 2021

ALLIANCE ADVISORY & SECURITIES, INC.

CRD#: 18835

Camarillo, CA

Past

March 5, 2007 - November 24, 2009

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

CALABASAS, CA

Past

January 30, 2004 - March 6, 2007

LIFETIME PLANNING, INC.

RIA

CRD#: 111784

CAMARILLO, CA

Past

January 3, 2004 - November 24, 2009

SECURITIES AMERICA, INC.

CRD#: 10205

CALABASAS, CA

Past

March 8, 2001 - January 6, 2004

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

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".

ALLIANCE ADVISORY & SECURITIES, INC.

CRD#: 18835 / SEC#: 801-67105, 8-36999

RIA

Registered Investment Advisory firm - SEC (9/5/2006 Approved)

California

Registered Investment Advisory firm - SEC (9/11/2006 Terminated)

Texas

Registered Investment Advisory firm - SEC (9/5/2006 Terminated)

Terminated by SEC on 08/22/2021

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
(12/3/2009)

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: 1/12/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/23/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/15/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/7/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/7/2001

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ALLIANCE ADVISORY & SECURITIES, INC.

CRD#: 18835 / SEC#: 801-67105, 8-36999

RIA

Registered Investment Advisory firm - SEC (9/5/2006 Approved)

California

Registered Investment Advisory firm - SEC (9/11/2006 Terminated)

Texas

Registered Investment Advisory firm - SEC (9/5/2006 Terminated)

Terminated by SEC on 08/22/2021

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Contact information

Main Address

31248 E. Oak Crest Drive Ste 100, Westlake Village, CA 91361

Mailing Address

Phone number

(805) 371-8020

Established

California since 05/12/1982

Firm type

Corporation

Fiscal year end

June

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025-03 ADV PART 2A+2B - FIRM BROCHURE (3/24/2025)

Direct owners and executive officers

Name	Position	CRD#
ALLIANCE FINANCIAL GROUP, INC.	PARENT CORPORATION
GARAGLIANO, JEFFREY THOMAS	CHIEF COMPLIANCE OFFICER	3208095
SANADA, JERRY VINCENT	FINANCIAL AND OPERATIONS OFFICER	2653139
SANADA, RANDALL PAUL	PRESIDENT	409938
SANADA, RANDALL PAUL JR	VICE PRESIDENT	2785856

Regulatory assets under management

Total Number of Accounts	2,728
AUM (Assets Under Management)	$ 639,384,881

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Hoby D. Pearce

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hoby Daniel Pearce's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLIANCE ADVISORY & SECURITIES, INC.

ALLIANCE ADVISORY & SECURITIES, INC.

SECURITIES AMERICA ADVISORS, INC.

LIFETIME PLANNING, INC.

SECURITIES AMERICA, INC.

SUNAMERICA SECURITIES, INC.

Primary Firm SEC Registration

ALLIANCE ADVISORY & SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/12/2004

Series 63

Date: 3/23/2001

Series 7TO

Date: 3/15/2024

SIE

Date: 10/1/2018

Series 7

Date: 5/7/2002

Series 6

Date: 3/7/2001

Current Firm

ALLIANCE ADVISORY & SECURITIES, INC.

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ALLIANCE ADVISORY & SECURITIES, INC.

TRUST BUT VERIFY

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