William J. Weglein

ALERE PLANNING LLC

Towson, MD 21204

Some features on this profile are disabled

CRD#: 4675284

Professional summary

William James Weglein JR, who also goes by Jim Weglein, W James Weglein, is a registered financial advisor currently at ALERE PLANNING LLC located in Towson, Maryland and PURSHE KAPLAN STERLING INVESTMENTS located in Towson, Maryland.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. William has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Weglein | W James Weglein

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. PKS Financial-Investment related-80 State St, Albany, NY 12207-Fixed/Traditional insurance-Agent-2/2017-8 hrs/mth-0 during trading hrs-Sale of fixed/traditional insurance products 2. Alere Planning LLC-Investment related-110 West Road, Suite 415,Towson, MD 21204-Fixed/ Traditional insurance-Agent- 2/2017-8 hrs/mth-0 during trading hrs-sale of fixed/traditional insurance products.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William James Weglein JR'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

March 2, 2017 - Present

ALERE PLANNING LLC

Office #1: 110 West Road Suite 200, Towson, MD 21204

RIA

CRD#: 286121

Towson, MD

Current

February 27, 2017 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 110 West Road Suite 415, Towson, MD 21204

CRD#: 35747

Towson, MD

Past

September 4, 2012 - February 27, 2017

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

TIMONIUM, MD

Past

September 4, 2012 - February 27, 2017

SECURITIES AMERICA, INC.

CRD#: 10205

TIMONIUM, MD

Past

March 27, 2007 - September 13, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

HUNT VALLEY, MD

Past

March 8, 2007 - September 13, 2012

LPL FINANCIAL LLC

CRD#: 6413

HUNT VALLEY, MD

Past

July 2, 2003 - May 21, 2004

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

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".

ALERE PLANNING LLC

CRD#: 286121 / SEC#: 801-120912

RIA

Registered Investment Advisory firm - (4/23/2021 Approved)

Louisiana

Registered Investment Advisory firm - (5/3/2021 Terminated)

Maryland

Registered Investment Advisory firm - (5/5/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/29/2021 Terminated)

Texas

Registered Investment Advisory firm - (4/28/2021 Terminated)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Delaware
(1/24/2024)

District of Columbia
(2/27/2017)

Florida
(11/30/2021)

Maryland
(2/27/2017)

IAR

Maryland
(4/12/2017)

Minnesota
(7/11/2023)

North Carolina
(2/27/2017)

Pennsylvania
(2/27/2017)

IAR

Pennsylvania
(3/2/2017)

South Carolina
(2/27/2017)

IAR

South Carolina
(4/13/2023)

Texas
(1/24/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/26/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/7/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/23/2003

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ALERE PLANNING LLC

CRD#: 286121 / SEC#: 801-120912

RIA

Registered Investment Advisory firm - (4/23/2021 Approved)

Louisiana

Registered Investment Advisory firm - (5/3/2021 Terminated)

Maryland

Registered Investment Advisory firm - (5/5/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/29/2021 Terminated)

Texas

Registered Investment Advisory firm - (4/28/2021 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Isle Of Palms, SC

Mailing Address

Phone number

(410) 252-0088

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

ALERE PLANNING LLC ADV PART 2A/PART 2BS (11/6/2025)

Regulatory assets under management

Total Number of Accounts	468
AUM (Assets Under Management)	$ 184,179,403

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.

Similar Advisors

Brian Mckinney

COMMONWEALTH FINANCIAL NETWORK

IAR

Columbia, MD

Gary Williams

COMMONWEALTH FINANCIAL NETWORK

IAR

Columbia, MD

Lawrence Leitch

LPL FINANCIAL LLC

IAR

TOWSON, MD

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William J. Weglein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William James Weglein JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

1717 CAPITAL MANAGEMENT COMPANY

Primary Firm SEC Registration

ALERE PLANNING LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/26/2007

SIE

Date: 10/1/2018

Series 7

Date: 3/7/2007

Series 24

Date: 12/23/2003

FINRA

Current Firm

ALERE PLANNING LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALERE PLANNING LLC

TRUST BUT VERIFY

Similar Advisors