Alan S. Kotaev

TPK ADVISORS LLC

Cliffside Park, NJ

Some features on this profile are disabled

CRD#: 5188851

Professional summary

Alan S. Kotaev is a registered financial advisor currently at TPK ADVISORS LLC located in Cliffside Park, New Jersey.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Alan has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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) TPK ADVISORS LLC IS A REGISTERED INVESTMENT ADVISOR. MY POSITION A/O 1/26/2010 IS THAT OF PRESIDENT/PORTFOLIO MGR. MY DUTIES INCLUDE PORTFOLIO MGMT AND OVERSIGHT OF DAY TO DAY COMPLIANCE AND OPERATIONAL MATTERS. I DEVOTE APPROXIMATELY 150 HOURS A MONTH DURING TRADING HOURS TO THIS BUSINESS. (2) SINCE JANUARY 2014 PARTNER AT ALAN TRADE INC. LOCATED IN CLIFFSIDE PARK, NJ 07010. COMPANY IS RESPONSIBLE FOR EXPORT AND DISTRIBUTION OF SHERWIN WILLIAMS PRODUCTS IN RUSSIA. MY RESPONSIBILITIES INCLUDE CONTRACT NEGOTIATIONS AND ARRANGEMENT OF SHIPMENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan S. Kotaev's 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 20, 2019 - Present

TPK ADVISORS LLC

RIA

CRD#: 152633

Cliffside Park, NJ

Past

February 16, 2010 - September 26, 2012

TPK ADVISORS LLC

RIA

CRD#: 152633

EDGEWATER, NJ

Past

May 7, 2009 - January 14, 2010

MAHLER & EMERSON INC.

RIA

CRD#: 7826

NEW YORK, NY

Past

May 7, 2009 - July 27, 2009

MAHLER & EMERSON INC.

CRD#: 7826

NEW YORK, NY

Past

July 24, 2007 - December 1, 2015

BREAN CAPITAL, LLC

CRD#: 23723

NEW YORK, NY

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

Connecticut
(4/18/2019)

IAR

New Jersey
(3/20/2019)

IAR

New York
(12/21/2021)

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: 12/12/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/3/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/1/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/23/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/14/2012

General Securities Principal Examination

Current Firm

TPK ADVISORS LLC

CRD#: 152633 / SEC#:

Connecticut

Registered Investment Advisory firm - (4/18/2019 Approved)

New Jersey

Registered Investment Advisory firm - (3/20/2019 Approved)

New York

Registered Investment Advisory firm - (1/26/2010 Approved)

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

725 River Road Suite 32, #116, Edgewater, NJ 07020

Mailing Address

Phone number

(201) 943-1342

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	63
AUM (Assets Under Management)	$ 22,648,215

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Alan S. Kotaev

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan S. Kotaev's CRS (Customer Relationship Summary).

Certified licenses

Experience

TPK ADVISORS LLC

MAHLER & EMERSON INC.

MAHLER & EMERSON INC.

BREAN CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/12/2018

Series 63

Date: 10/3/2007

SIE

Date: 12/1/2015

Series 7

Date: 7/23/2007

Series 24

Date: 2/14/2012

Current Firm

TPK ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TPK ADVISORS LLC

TRUST BUT VERIFY

Similar Advisors