AB
Alec S. Berens
ATTESSA CAPITAL LLC
Tucson, AZ 85712
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CRD#: 6504172
AB
Professional summary
Alec Scott Berens is a registered financial advisor currently at ATTESSA CAPITAL LLC located in Tucson, Arizona.
Alec is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Alec has worked at 2 firms and has passed the Series 65 exam.
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.
Alec Berens is a volunteer member and President of the Board of Directors for a non-profit organization, El Rio Health Center. Mr. Berens helps with strategic planning for the organization alongside other board members. Mr. Berens does not receive compensation for this position. Mr. Berens does not solicit this activity to clients of BGK Capital LLC. Mr. Berens spends 8 hours per month on this activity. Alec Berens is a volunteer member of the Board of Directors for a non-profit organization, JPSA (Jewish Philanthropies of Southern Arizona). Mr. Berens helps with strategic planning for the organization alongside other board members. Mr. Berens does not receive compensation for this position. Mr. Berens does not solicit this activity to clients of BGK Capital LLC. Mr. Berens spends 4 hours per month on this activity. Alec Berens is a volunteer Director of Southeast Holdings, Inc., Grant Road Holdings, Inc., and Cherrybell Holdings, Inc., which are subsidiary companies of El Rio Health Center. These entities were created so El Rio Health Center could obtain loans for new health center buildings through the New Markets Tax Credit Program (NMTC). This company has no operations outside of holding this loan. There are several directors of this company, and Mr. Berens volunteered to be director and help oversee the loan for the Board of Directors. Mr. Berens does not receive compensation for this position. Mr. Berens does not solicit this activity to clients of BGK Capital LLC. Mr. Berens spends less than 1 hour per month on this activity. Alec Berens is a volunteer President of his homeowners' association, Rancho Reposo (HOA) where he resides. Mr. Berens helps decide manners related to his housing community such as architecture changes, landscaping, timing of repairs or maintenance, HOA dues, etc. Mr. Berens does not receive compensation for this position. Mr. Berens does not solicit this activity to clients of BGK Capital LLC. Mr. Berens spends 1 hour per month on this activity.
CRS (Client Relationship Summary) - RIA
Click below to view Alec Scott Berens'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®
NoneExperience
Current
January 13, 2020 - Present
ATTESSA CAPITAL LLC
Office #1: 3060 N Swan Rd, Tucson, AZ 85712RIA
CRD#: 306827
Tucson, AZ
Past
May 11, 2016 - January 8, 2020
STERLING INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 112923
TUCSON, AZ
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".
AC
ATTESSA CAPITAL LLC
ATTESSA CAPITAL LLC | BGK CAPITAL LLC | BGK CAPITAL
CRD#: 306827 / SEC#: 801-129457
RIA
Registered Investment Advisory firm - (2/2/2024 Approved)Arizona
Registered Investment Advisory firm - (2/21/2024 Terminated)Texas
Registered Investment Advisory firm - (2/21/2024 Terminated)Utah
Registered Investment Advisory firm - (2/21/2024 Terminated)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
Arizona(1/13/2020)
IAR
Texas(5/11/2020)
Current Firm
AC
ATTESSA CAPITAL LLC
ATTESSA CAPITAL LLC | BGK CAPITAL LLC | BGK CAPITAL
CRD#: 306827 / SEC#: 801-129457
RIA
Registered Investment Advisory firm - (2/2/2024 Approved)Arizona
Registered Investment Advisory firm - (2/21/2024 Terminated)Texas
Registered Investment Advisory firm - (2/21/2024 Terminated)Utah
Registered Investment Advisory firm - (2/21/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3060 N Swan Rd, Tucson, AZ 85712
Mailing Address
Phone number
(520) 600-3064
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 682 |
| AUM (Assets Under Management) | $ 318,110,389 |
Red Flags
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