Alan R. Simpson, Jr.

COLVILLE WEALTH ADVISORY

Charlotte, NC 28211

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CRD#: 4467281

Professional summary

Alan Rae Simpson, Jr., who also goes by Alan Rae Simpson Jr., Alan Simpson, is a registered financial advisor currently at COLVILLE WEALTH ADVISORY, LLC located in Charlotte, North Carolina.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Alan has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alan Rae Simpson Jr. | Alan Simpson

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)ALAN R. SIMPSON, JR. CPA, 1901 ROXBOROUGH ROAD, STE 101, CHARLOTTE, NC, SOLE PROPRIETOR, CPA PROVIDING TAX AND BUSINESS ADVISORY SERVICES, NOT INV-REL, 150 HRS/MO 2)ALAN SIMPSON REALTY, 827 COLVILLE RD, CHARLOTTE, NC, SOLE PROPRIETOR/REALTOR, NOT INVESTMENT-RELATED, 1 HR/MO.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Rae Simpson, Jr.'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®

None

Experience

Current

January 2, 2018 - Present

COLVILLE WEALTH ADVISORY, LLC

Office #1: 1901 Roxborough Road Ste 300, Charlotte, NC 28211

RIA

CRD#: 290147

Charlotte, NC

Past

May 13, 2016 - December 31, 2017

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

CHARLOTTE, NC

Past

May 13, 2016 - December 31, 2017

SIGNATOR INVESTORS, INC.

CRD#: 468

CHARLOTTE, NC

Past

September 4, 2009 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

CHARLOTTE, NC

Past

September 4, 2009 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

CHARLOTTE, NC

Past

January 6, 2005 - September 4, 2009

TRANSAMERICA FINANCIAL ADVISORS, INC.

RIA

CRD#: 3600

CHARLOTTE, NC

Past

November 29, 2001 - September 4, 2009

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

CHARLOTTE, NC

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

North Carolina
(1/2/2018)

IAR

Texas
(5/13/2025)

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: 12/4/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/15/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/28/2001

General Securities Representative Examination

Current Firm

COLVILLE WEALTH ADVISORY, LLC

CRD#: 290147 / SEC#:

North Carolina

Registered Investment Advisory firm - (1/2/2018 Approved)

Texas

Registered Investment Advisory firm - (5/2/2025 Conditional Restricted)

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Contact information

Main Address

1901 Roxborough Road Suite 101, Charlotte, NC 28211-3482

Mailing Address

Phone number

(704) 367-0775

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	58
AUM (Assets Under Management)	$ 22,972,684

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

Alan R. Simpson, Jr.

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Rae Simpson, Jr.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/4/2004

Series 63

Date: 11/15/2001

SIE

Date: 12/31/2017

Series 7

Date: 11/28/2001

Current Firm

COLVILLE WEALTH ADVISORY, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

COLVILLE WEALTH ADVISORY, LLC

TRUST BUT VERIFY

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