Brian A. Schreiner

ALPHA ROCK INVESTMENTS

MALVERN, PA 19355

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CRD#: 4551957

Professional summary

Brian Andrew Schreiner is a registered financial advisor currently at ALPHA ROCK INVESTMENTS, LLC located in Malvern, Pennsylvania.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Brian has worked at 5 firms and has passed the Series 63, Series 65, Series 7TO and SIE 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 Brian Andrew Schreiner'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®

None

Experience

Current

April 7, 2025 - Present

ALPHA ROCK INVESTMENTS, LLC

Office #1: 40 Pennsylvania Ave, Malvern, PA 19355

RIA

CRD#: 335453

MALVERN, PA

Past

March 8, 2024 - April 22, 2025

METRIC FINANCIAL, LLC

CRD#: 33324

Malvern, PA

Past

February 4, 2022 - February 5, 2024

INTEGRAL WEALTH SECURITIES LLC

CRD#: 36143

NEW YORK, NY

Past

March 15, 2016 - April 11, 2025

CMG CAPITAL MANAGEMENT GROUP, INC.

RIA

CRD#: 110750

MALVERN, PA

Past

April 25, 2001 - August 10, 2015

SCHREINER CAPITAL MANAGEMENT, INC.

RIA

CRD#: 106662

EXTON, PA

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

Pennsylvania
(4/7/2025)

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

Series 63

Date: 3/4/2022

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/16/2000

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/4/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/10/2021

Securities Industry Essentials Examination

Current Firm

ALPHA ROCK INVESTMENTS, LLC

CRD#: 335453 / SEC#: 801-132349

RIA

Registered Investment Advisory firm - (8/6/2025 Terminated)

Pennsylvania

Registered Investment Advisory firm - (8/6/2025 Approved)

Texas

Registered Investment Advisory firm - (8/6/2025 Conditional Restricted)

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).

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Contact information

Main Address

40 Pennsylvania Ave, Malvern, PA 19355

Mailing Address

Phone number

(610) 721-1277

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	85
AUM (Assets Under Management)	$ 22,640,000

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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Brian A. Schreiner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Andrew Schreiner's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPHA ROCK INVESTMENTS, LLC

METRIC FINANCIAL, LLC

INTEGRAL WEALTH SECURITIES LLC

CMG CAPITAL MANAGEMENT GROUP, INC.

SCHREINER CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/4/2022

Series 65

Date: 11/16/2000

Series 7TO

Date: 2/4/2022

SIE

Date: 12/10/2021

Current Firm

ALPHA ROCK INVESTMENTS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ALPHA ROCK INVESTMENTS, LLC

TRUST BUT VERIFY

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