Alan Baca
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
14 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
AB GROUP | VERITY WEALTH ADVISORS | STILLWATER PARTNERS | PROTEA WEALTH MANAGEMENT | PETERS WEALTH ADVISORS | NORTH PARK INVESTMENTS | MICHAEL MALONE INVESTMENT ADVISORY | MARSINI ESTATE & WEALTH | LIBERTY RIDGE | JAMES W. JUDGE IV | FRONT STREET FINANCIAL | ETHOS FINANCIAL GROUP, LLC | ETHOS FAMILY OFFICE | COHESION PARTNERS | CHAPWOOD INVESTMENTS | BELVEST WEALTH | ASCENDANT 360 | ALPHA WHISKEY
Contact Information
Main Address
2200 Renaissance Blvd Suite 340, King Of Prussia, PA 19406Phone Number
(610) 822-5246# of Employees
48SEC notice filing (25 States and Territories)
Registered to provide investment advisory services in 25 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
5,187AUM (Assets Under Management)
$2,424,919,272Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
AB GROUP | VERITY WEALTH ADVISORS | STILLWATER PARTNERS | PROTEA WEALTH MANAGEMENT | PETERS WEALTH ADVISORS | NORTH PARK INVESTMENTS | MICHAEL MALONE INVESTMENT ADVISORY | MARSINI ESTATE & WEALTH | LIBERTY RIDGE | JAMES W. JUDGE IV | FRONT STREET FINANCIAL | ETHOS FINANCIAL GROUP, LLC | ETHOS FAMILY OFFICE | COHESION PARTNERS | CHAPWOOD INVESTMENTS | BELVEST WEALTH | ASCENDANT 360 | ALPHA WHISKEY
State Registrations and Notice Filings
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Oct 2020About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Sep 2019About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Alan Baca's CRS (Customer Relationship Summary).
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