Alan L. Augulis

AUGULIS FINANCIAL FIRM, L.L.C.

Warren, NJ 07059

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CRD#: 4516413

Professional summary

Alan Louis Augulis is a registered financial advisor currently at AUGULIS FINANCIAL FIRM, L.L.C. located in Warren, New Jersey.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Alan has worked at 9 firms and has passed the Series 65, SIE, Series 62 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.

ALAN L AUGULIS POSITION: INSURANCE AGENT NATURE: INSURANCE AGENT INVESTMENT RELATED: YES NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 06/1999 ADDRESS: 5 MOUNTAIN BLVD, SUITE 11B, WARREN NJ 07059 DESCRIPTION: INSURANCE REVIEWS FOR LEGAL CLIENTS. AUGULIS LAW FIRM POSITION: OWNER NATURE: LAW INVESTMENT RELATED: YES NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 01/2000 ADDRESS: 5 MOUNTAIN BLVD, SUITE 11B, WARREN NJ 07059 DESCRIPTION: OWNER LAW FIRM. PROVIDE LEGAL ADVICE AND DOCUMENTS PERTAINING TO ESTATE PLANNING AND ELDER LAW AND MANAGEMENT OF THE LAW FIRM.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Louis Augulis'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

June 9, 2016 - Present

AUGULIS FINANCIAL FIRM, L.L.C.

Office #1: 5 Mountain Boulevard Suite 11b, Warren, NJ 07059

RIA

CRD#: 173616

Warren, NJ

Past

May 8, 2015 - May 13, 2016

QUESTAR ASSET MANAGEMENT, INC.

RIA

CRD#: 133358

WARREN, NJ

Past

May 6, 2015 - May 13, 2016

QUESTAR CAPITAL CORPORATION

CRD#: 43100

WARREN, NJ

Past

February 11, 2015 - May 5, 2015

AUGULIS FINANCIAL FIRM, L.L.C.

RIA

CRD#: 173616

WARREN, NJ

Past

November 17, 2010 - August 15, 2014

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WARREN, NJ

Past

March 4, 2009 - December 16, 2010

APW CAPITAL, INC.

CRD#: 43814

ROCKAWAY, NJ

Past

July 12, 2007 - December 31, 2008

CENTAURUS FINANCIAL, INC.

CRD#: 30833

SOMERSET, NJ

Past

December 1, 2006 - July 7, 2007

QUESTAR CAPITAL CORPORATION

CRD#: 43100

NEW BRUNSWICK, NJ

Past

July 20, 2006 - December 1, 2006

USALLIANZ SECURITIES, INC.

CRD#: 40875

NEW BRUNSWICK, NJ

Past

May 16, 2006 - July 28, 2006

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

June 19, 2003 - May 7, 2004

INVESTMENT ADVISORS & CONSULTANTS, INC.

CRD#: 7996

WEST LONG BRANCH, NJ

Past

June 6, 2002 - June 12, 2003

PRIME CAPITAL SERVICES, INC.

CRD#: 18334

POUGHKEEPSIE, NY

Past

April 23, 2002 - June 3, 2002

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

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

New Jersey
(6/9/2016)

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: 2/5/2015

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 5/13/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 62

Date: 9/5/2006

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 6

Date: 4/22/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

AUGULIS FINANCIAL FIRM, L.L.C.

AUGULIS FINANCIAL FIRM, L.L.C. | AUGULIS, ALAN L

CRD#: 173616 / SEC#:

New Jersey

Registered Investment Advisory firm - (6/9/2016 Approved)

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Contact information

Main Address

5 Mountain Blvd. Suite 9b, Warren, NJ 07059

Mailing Address

Phone number

(908) 834-8040

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	145
AUM (Assets Under Management)	$ 54,072,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Alan L. Augulis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Louis Augulis's CRS (Customer Relationship Summary).

Certified licenses

Experience

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

AUGULIS FINANCIAL FIRM, L.L.C.

VOYA FINANCIAL ADVISORS, INC.

APW CAPITAL, INC.

CENTAURUS FINANCIAL, INC.

QUESTAR CAPITAL CORPORATION

USALLIANZ SECURITIES, INC.

VOYA FINANCIAL ADVISORS, INC.

INVESTMENT ADVISORS & CONSULTANTS, INC.

PRIME CAPITAL SERVICES, INC.

VOYA FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/5/2015

SIE

Date: 5/13/2016

Series 62

Date: 9/5/2006

Series 6

Date: 4/22/2002

Current Firm

AUGULIS FINANCIAL FIRM, L.L.C.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

AUGULIS FINANCIAL FIRM, L.L.C.

TRUST BUT VERIFY

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