AA
Alan A. Anderson
CARLYLE WEALTH PLANNING
Atlanta, GA 30328
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CRD#: 5436043
AA
Professional summary
Alan Anthony Anderson, CFP® is a registered financial advisor currently at CARLYLE WEALTH PLANNING located in Atlanta, Georgia and THE STRATEGIC FINANCIAL ALLIANCE, INC. located in Alpharetta, Georgia.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Alan has worked at 4 firms and has passed the Series 66, 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) DEMPSEY COMPANIES; NOT INVESTMENT RELATED; 2951 PIEDMONT ROAD #200, ATLANTA, GA 30305; FIXED AND TRADITIONAL INSURANCE; AGENT; BEGAN 2009; APPROXIMATELY FIVE HOURS PER MONTH INCLUDING DURING TRADING HOURS; FIXED AND TRADITIONAL INSURANCE SALES.
(2) CARLYLE WEALTH MANAGEMENT, NOT INVESTMENT RELATED, FIVE CONCOURSE PARKWAY, SUITE 3000, ATLANTA, GA 30328, DBA FOR MARKETING FINANCIAL SERVICES, OWNER, 01/2015, 200 PER MONTH, 160 DURING TRADING, DBA.
(3) MEDICARE BACKOFFICE, NOT INVESTMENT RELATED, 8420 W. DODGE RD., STE 510 OMAHA, NE 68114, INSURANCE AGENCY PROVIDING MEDICARE ADVICE AND INSURANCE SERVICES, REFERRAL SOURCE, 2015, 1 HOUR/MONTH, DURING TRADING, REFER CLIENTS WHO NEED HELP WITH MORE COMPLEX MEDICARE QUESTIONS.
CRS (Client Relationship Summary) - RIA
Click below to view Alan Anthony Anderson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alan Anthony Anderson'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®
CFP®
Start date: 2008
Experience
Current
October 21, 2011 - Present
CARLYLE WEALTH PLANNING
Office #1: Five Concourse Parkway Suite 3000, Atlanta, GA 30328RIA
CRD#: 126298
Atlanta, GA
Current
July 15, 2016 - Present
THE STRATEGIC FINANCIAL ALLIANCE, INC.
Office #2: Five Concourse Parkway Suite 3000, Atlanta, GA 30328RIA
BD
CRD#: 126514
Alpharetta, GA
Current
July 15, 2016 - Present
THE STRATEGIC FINANCIAL ALLIANCE, INC.
Office #2: Five Concourse Parkway Suite 3000, Atlanta, GA 30328RIA
BD
CRD#: 126514
Alpharetta, GA
Past
October 25, 2011 - July 20, 2016
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
ATLANTA, GA
Past
October 25, 2011 - July 20, 2016
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
ATLANTA, GA
Past
March 7, 2008 - October 25, 2011
SANDERS MORRIS LLC
RIA
CRD#: 20580
ATLANTA, GA
Past
January 1, 2008 - October 25, 2011
SANDERS MORRIS LLC
BD
CRD#: 20580
ATLANTA, GA
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".
TS
THE STRATEGIC FINANCIAL ALLIANCE, INC.
ADAMS FINANCIAL SERVICES | WELLSPRING ADVISORY SERVICES, LLC | TOM BECK COMPANY | THE STRATEGIC FINANCIAL ALLIARCE | THE STRATEGIC FINANCIAL ALLIANCE, INC. | THE STRATEGIC FINANCIAL ALLIANCE | THE RAPPAHANNOCK WEALTH ADVISORS, INC. | THE BAKER FINANCIAL GROUP, LLC | STARR CAPITAL | SNYDER FINANCIAL GROUP | SHERPA FINANCIAL ADVISORS | RELIANCE ADVISORY SERVICES, INC. | RAUSCH FINANCIAL SERVICES | PRIVATE CLIENT ADVISORY | PREHMUS FINANCIAL PARTNERS | OAK WEALTH MANAGEMENT | O'NEIL FINANCIAL ADVISORS | NORTH GEORGIA WEALTH ADVISORS | NAKAMURA STRATEGIC FINANCIAL PLANNING | MONEY CONCEPTS, INC. | MAIN ADVISORY | LFA PRIVATE WEALTH MANAGEMENT | LEGACY FINANCIAL ASSOCIATES | KOEHN FINANCIAL GROUP | KNIGHT ASSET MANAGEMENT | KJM WEALTH MANAGEMENT | KEOWEE FINANCIAL GROUP, INC. | KEIHATSU WEALTH MANAGEMENT | KEEN ADVISOR GROUP | KEEN & POCOCK | KAP FINANCIAL SOLUTIONS | GROWTHPOINT ADVISORS, LLC | GOLDEN SWORD ALLIANCE | GEORGIA WEALTH PARTNERS | GENCREST CAPITAL PARTNERS | FRANK REYNOLDS AND COMPANY | FINANCIAL PLANNING ADVISORY SERVICE, INC. | ENCORE FINANCIAL CONSULTING | DUNN FINANCIAL SERVICES | DERAND CAPITAL MANAGEMENT GROUP / THE RETIREMENT COACH | DAVIS WEALTH PLANNING | CORRIGAN FINANCIAL | CORNERSTONE WEALTH SERVICES | CORNERSTONE WEALTH MANAGEMENT | COMPASS WEALTH MANAGEMENT | CAROLINA WEALTH ADVISORS | CARNEGIE WEALTH MANAGEMENT | CARLYLE WEALTH MANAGEMENT | CAPITAL INSIGHT GROUP | BOWERS PRIVATE WEALTH MANAGEMENT | BENNCO ADVISORS
CRD#: 126514 / SEC#: 801-62226, 8-65885
RIA
Registered Investment Advisory firm - SEC (7/18/2003 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.RR
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
RR
Alabama(7/15/2016)
RR
Arizona(6/5/2019)
RR
California(7/15/2016)
RR
Connecticut(7/15/2016)
RR
District of Columbia(1/3/2025)
RR
Florida(7/15/2016)
IAR
Georgia(10/21/2011)
RR
Georgia(7/15/2016)
RR
Illinois(7/15/2016)
RR
Louisiana(7/15/2016)
RR
Maine(12/21/2022)
RR
Maryland(7/15/2016)
RR
Montana(7/15/2016)
RR
New Hampshire(1/2/2018)
RR
New Mexico(7/15/2016)
RR
North Carolina(7/15/2016)
RR
Ohio(7/15/2016)
RR
Pennsylvania(7/15/2016)
RR
Puerto Rico(1/2/2019)
RR
South Carolina(7/15/2016)
RR
Tennessee(1/2/2018)
RR
Texas(1/2/2018)
IAR
Texas(1/2/2018)
RR
Utah(7/15/2016)
RR
Virginia(1/3/2025)
RR
Washington(4/6/2018)
RR
Wyoming(6/5/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TS
THE STRATEGIC FINANCIAL ALLIANCE, INC.
ADAMS FINANCIAL SERVICES | WELLSPRING ADVISORY SERVICES, LLC | TOM BECK COMPANY | THE STRATEGIC FINANCIAL ALLIARCE | THE STRATEGIC FINANCIAL ALLIANCE, INC. | THE STRATEGIC FINANCIAL ALLIANCE | THE RAPPAHANNOCK WEALTH ADVISORS, INC. | THE BAKER FINANCIAL GROUP, LLC | STARR CAPITAL | SNYDER FINANCIAL GROUP | SHERPA FINANCIAL ADVISORS | RELIANCE ADVISORY SERVICES, INC. | RAUSCH FINANCIAL SERVICES | PRIVATE CLIENT ADVISORY | PREHMUS FINANCIAL PARTNERS | OAK WEALTH MANAGEMENT | O'NEIL FINANCIAL ADVISORS | NORTH GEORGIA WEALTH ADVISORS | NAKAMURA STRATEGIC FINANCIAL PLANNING | MONEY CONCEPTS, INC. | MAIN ADVISORY | LFA PRIVATE WEALTH MANAGEMENT | LEGACY FINANCIAL ASSOCIATES | KOEHN FINANCIAL GROUP | KNIGHT ASSET MANAGEMENT | KJM WEALTH MANAGEMENT | KEOWEE FINANCIAL GROUP, INC. | KEIHATSU WEALTH MANAGEMENT | KEEN ADVISOR GROUP | KEEN & POCOCK | KAP FINANCIAL SOLUTIONS | GROWTHPOINT ADVISORS, LLC | GOLDEN SWORD ALLIANCE | GEORGIA WEALTH PARTNERS | GENCREST CAPITAL PARTNERS | FRANK REYNOLDS AND COMPANY | FINANCIAL PLANNING ADVISORY SERVICE, INC. | ENCORE FINANCIAL CONSULTING | DUNN FINANCIAL SERVICES | DERAND CAPITAL MANAGEMENT GROUP / THE RETIREMENT COACH | DAVIS WEALTH PLANNING | CORRIGAN FINANCIAL | CORNERSTONE WEALTH SERVICES | CORNERSTONE WEALTH MANAGEMENT | COMPASS WEALTH MANAGEMENT | CAROLINA WEALTH ADVISORS | CARNEGIE WEALTH MANAGEMENT | CARLYLE WEALTH MANAGEMENT | CAPITAL INSIGHT GROUP | BOWERS PRIVATE WEALTH MANAGEMENT | BENNCO ADVISORS
CRD#: 126514 / SEC#: 801-62226, 8-65885
RIA
Registered Investment Advisory firm - SEC (7/18/2003 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
2200 Century Parkway Suite 500, Atlanta, GA 30345
Mailing Address
2200 Century Parkway Suite 500, Atlanta, GA 30345
Phone number
(678) 954-4000
Established
Georgia since 02/13/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
63
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SFA HOLDINGS, INC. | SHAREHOLDER | |
| COPELAND, JOSEPH KILLINGSWORTH | VICE PRESIDENT, INFORMATION SYSTEMS & TECHNOLOGY | 6847982 |
| GOLDSMITH, ARTHUR BERTRAM | SVP | 706059 |
| HARRELL, VERONICA RAY | ASSISTANT VICE-PRESIDENT | 5898449 |
| JONES, DEADERICK K | VICE PRESIDENT, CCO | 3029947 |
| SCHROLL, DAVID | VICE-PRESIDENT SUPERVISION | 5055067 |
| SLOVIN, CLIVE | DIRECTOR | 1101301 |
| SULLIVAN, JULIE ANN | PRESIDENT, DIRECTOR | 1112088 |
| TATUM, ANNA ELISE | CFO | 7273094 |
Regulatory assets under management
| Total Number of Accounts | 1,394 |
| AUM (Assets Under Management) | $ 470,940,835 |
Disclosures
| Regulatory Event | 1 |
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.
