Alan Baca

ETHOS FINANCIAL GROUP

San Diego, CA

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CRD#: 6111890

Professional summary

Alan Baca is a registered financial advisor currently at ETHOS FINANCIAL GROUP, LLC located in San Diego, California.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Alan has worked at 3 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 10 and Series 9 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.

Private Equity Investments, Investment Related, At work location, Managing Partner and/or General Partner of certain Private Equity investment partnerships, August 2023, Less than 20% of his time during securities trading hours, duties as may include raising capital from limited partners, deploying capital into investments, portfolio management.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Baca'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 6, 2023 - Present

ETHOS FINANCIAL GROUP, LLC

RIA

CRD#: 321748

San Diego, CA

Past

January 18, 2013 - May 3, 2023

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

SAN DIEGO, CA

Past

January 18, 2013 - May 3, 2023

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

SAN DIEGO, CA

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".

ETHOS FINANCIAL GROUP, LLC

CRD#: 321748 / SEC#: 801-125779

RIA

Registered Investment Advisory firm - (6/2/2022 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

California
(11/6/2023)

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

IAR

Series 66

Date: 9/5/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/31/2014

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/17/2013

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 10/1/2020

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 9/13/2019

General Securities Sales Supervisor - Options Module Examination

Current Firm

ETHOS FINANCIAL GROUP, LLC

CRD#: 321748 / SEC#: 801-125779

RIA

Registered Investment Advisory firm - (6/2/2022 Approved)

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Contact information

Main Address

2200 Renaissance Blvd Suite 340, King Of Prussia, PA 19406

Mailing Address

Phone number

(484) 889-7270

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

ETHOS FINANCIAL GROUP BROCHURE (4/23/2025)

Regulatory assets under management

Total Number of Accounts	3,935
AUM (Assets Under Management)	$ 1,576,974,645

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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Alan Baca

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ALLIANCEBERNSTEIN L.P.

SANFORD C. BERNSTEIN & CO., LLC

Primary Firm SEC Registration

ETHOS FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/5/2012

SIE

Date: 10/1/2018

Series 31

Date: 12/31/2014

Series 7

Date: 1/17/2013

Series 10

Date: 10/1/2020

Series 9

Date: 9/13/2019

Current Firm

ETHOS FINANCIAL GROUP, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ETHOS FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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