Alan N. Tocman

ONYX BRIDGE WEALTH GROUP LLC

Tarrytown, NY 10591

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CRD#: 4821425

Professional summary

Alan Neal Tocman is a registered financial advisor currently at ONYX BRIDGE WEALTH GROUP LLC located in Tarrytown, New York.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Alan has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 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.

1) Fixed Insurance; Investment Related; 120 White Plains Road, Suite 115, Tarrytown, NY 10591. Fixed/Traditional Insurance; Title: Agent; Start Date: 3/1/2021; Appx hours/month: 4; hours during trading: 4; Duties: Sales of Fixed/Traditional Insurance Products

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Neal Tocman'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

July 22, 2021 - Present

ONYX BRIDGE WEALTH GROUP LLC

Office #1: 120 White Plains Road Suite 115, Tarrytown, NY 10591

RIA

CRD#: 306097

Tarrytown, NY

Past

April 1, 2021 - December 31, 2022

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Tarrytown, NY

Past

March 9, 2020 - April 1, 2021

PRIVATE CLIENT SERVICES, LLC

CRD#: 120222

TARRYTOWN, NY

Past

December 12, 2013 - February 11, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Tarrytown, NY

Past

January 1, 2012 - December 13, 2013

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

WHITE PLAINS, NY

Past

September 16, 2011 - December 13, 2013

OPPENHEIMER & CO. INC.

CRD#: 249

WHITE PLAINS, NY

Past

August 26, 2004 - September 29, 2011

DAVID LERNER ASSOCIATES, INC.

CRD#: 5397

WHITE PLAINS, NY

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".

ONYX BRIDGE WEALTH GROUP LLC

CORNERSTONE WEALTH MANAGEMENT | THE GILMAN FINANCIAL GROUP | ONYX BRIDGE WEALTH GROUP LLC | JMC EMPIRE, LLC

CRD#: 306097 / SEC#: 801-118022

RIA

Registered Investment Advisory firm - (2/6/2020 Approved)

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 York
(7/22/2021)

IAR

Texas
(8/11/2022)

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: 12/27/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/31/2004

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: 8/13/2004

General Securities Representative Examination

Current Firm

ONYX BRIDGE WEALTH GROUP LLC

CORNERSTONE WEALTH MANAGEMENT | THE GILMAN FINANCIAL GROUP | ONYX BRIDGE WEALTH GROUP LLC | JMC EMPIRE, LLC

CRD#: 306097 / SEC#: 801-118022

RIA

Registered Investment Advisory firm - (2/6/2020 Approved)

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Contact information

Main Address

120 White Plains Road Suite 115, Tarrytown, NY 10591

Mailing Address

Phone number

(914) 909-6699

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A AND 2A APP 1 - WRAP BROCHURE (9/16/2025)

Regulatory assets under management

Total Number of Accounts	3,852
AUM (Assets Under Management)	$ 1,000,901,317

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

Alan N. Tocman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Neal Tocman's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

PRIVATE CLIENT SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

DAVID LERNER ASSOCIATES, INC.

Primary Firm SEC Registration

ONYX BRIDGE WEALTH GROUP LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/27/2011

Series 63

Date: 8/31/2004

SIE

Date: 10/1/2018

Series 7

Date: 8/13/2004

Current Firm

ONYX BRIDGE WEALTH GROUP LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ONYX BRIDGE WEALTH GROUP LLC

TRUST BUT VERIFY

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