Anthony M. Assadi

ALERE PLANNING

PLANO, TX 75024

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CRD#: 4834324

Professional summary

Anthony Mehran Assadi, who also goes by Tony Assadi, is a registered financial advisor currently at ALERE PLANNING LLC located in Plano, Texas.

Anthony is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Anthony has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tony Assadi

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 Anthony Mehran Assadi'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

November 2, 2017 - Present

ALERE PLANNING LLC

Office #1: 6860 Dallas Parkway Suite 110, Plano, TX 75024

RIA

CRD#: 286121

PLANO, TX

Past

May 23, 2012 - June 23, 2016

SS&C MARKET SERVICES, LLC

CRD#: 23568

BALTIMORE, MD

Past

November 6, 2008 - April 13, 2012

EQUITY SERVICES, INC.

CRD#: 265

HUNT VALLEY, 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".

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.

Highlighted states indicate IAR registrations

IAR

Maryland
(11/2/2017)

IAR

Texas
(3/31/2023)

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: 10/24/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/23/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/22/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/5/2008

Investment Company Products/Variable Contracts Representative Examination

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)

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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 (2/17/2026)

Regulatory assets under management

Total Number of Accounts	513
AUM (Assets Under Management)	$ 208,037,455

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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Advisor Monitoring

Firm Stability Insights

Anthony M. Assadi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Mehran Assadi's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALERE PLANNING LLC

SS&C MARKET SERVICES, LLC

EQUITY SERVICES, INC.

Primary Firm SEC Registration

ALERE PLANNING LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/24/2011

SIE

Date: 6/23/2016

Series 7

Date: 8/22/2011

Series 6

Date: 11/5/2008

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

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