Alex Zepkowski

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CRD#: 4628247

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Alex Zepkowski, who also goes by Alex Szczepkowski, was a registered financial professional .

Alex is a previously registered financial professional and started their career in finance in 2007. Alex had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Alex Szczepkowski

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: 06/05/2020 : Lake Avenue Financial, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor 2: 1/1/2020 : Financial Planning Association (FPA) - Study Group Chairperson - NON-INV Related - 6 Hours per month - 6 hours per month per trading hours

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 6, 2021 - June 13, 2023

LAKE AVENUE FINANCIAL LLC

RIA

CRD#: 315746

PASADENA, CA

Past

June 5, 2020 - October 15, 2021

INTEGRATED WEALTH CONCEPTS LLC

RIA

CRD#: 284656

Pasadena, CA

Past

October 7, 2008 - May 5, 2020

STONNINGTON GROUP, LLC

CRD#: 131221

PASADENA, CA

Past

August 9, 2007 - August 25, 2008

GUGGENHEIM DISTRIBUTORS, LLC

CRD#: 40805

ROCKVILLE, MD

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".

LAKE AVENUE FINANCIAL LLC

CRD#: 315746 / SEC#: 801-122031

RIA

Registered Investment Advisory firm - (8/6/2021 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 1/28/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/8/2007

General Securities Representative Examination

Current Firm

LAKE AVENUE FINANCIAL LLC

CRD#: 315746 / SEC#: 801-122031

RIA

Registered Investment Advisory firm - (8/6/2021 Approved)

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Contact information

Main Address

301 N Lake Ave Suite 830, Pasadena, CA 91101

Mailing Address

Phone number

(626) 689-2012

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WEALTHTECH LLC ADV PART 2A AND APPENDIX 1 BROCHURE (7/15/2025)

Regulatory assets under management

Total Number of Accounts	700
AUM (Assets Under Management)	$ 137,894,580

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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Firm Stability Insights

Alex Zepkowski

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LAKE AVENUE FINANCIAL LLC

INTEGRATED WEALTH CONCEPTS LLC

STONNINGTON GROUP, LLC

GUGGENHEIM DISTRIBUTORS, LLC

Primary Firm SEC Registration

LAKE AVENUE FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/28/2008

SIE

Date: 10/1/2018

Series 7

Date: 8/8/2007

Current Firm

LAKE AVENUE FINANCIAL LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LAKE AVENUE FINANCIAL LLC

TRUST BUT VERIFY

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