JM
Janice A. Mcgunnigle
ALPHA FINANCIAL ADVISORS
Charlotte, NC 28277-0524
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CRD#: 6847645
JM
Professional summary
Janice A Mcgunnigle, CFP® is a registered financial advisor currently at ALPHA FINANCIAL ADVISORS, LLC located in Charlotte, North Carolina.
Janice is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Janice has worked at 3 firms .
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Janice A Mcgunnigle'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: 2009
Experience
Current
June 20, 2019 - Present
ALPHA FINANCIAL ADVISORS, LLC
Office #1: 11325 N Community House Rd Suite #410, Charlotte, NC 28277-0524RIA
CRD#: 122545
Charlotte, NC
Past
July 2, 2018 - April 12, 2019
MODERA WEALTH MANAGEMENT, LLC
RIA
CRD#: 155649
Charlotte, NC
Past
June 13, 2018 - July 2, 2018
MATRIX WEALTH ADVISORS, INC.
RIA
CRD#: 109873
CHARLOTTE, NC
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".
AF
ALPHA FINANCIAL ADVISORS, LLC
ALPHA FINANCIAL ADVISORS, LLC
CRD#: 122545 / SEC#: 801-79666
RIA
Registered Investment Advisory firm - (5/6/2014 Approved)Florida
Registered Investment Advisory firm - (5/12/2014 Terminated)North Carolina
Registered Investment Advisory firm - (5/12/2014 Terminated)South Carolina
Registered Investment Advisory firm - (5/12/2014 Terminated)Texas
Registered Investment Advisory firm - (5/12/2014 Terminated)Virginia
Registered Investment Advisory firm - (9/4/2007 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
North Carolina(6/20/2019)
IAR
Texas(12/24/2024)
Exams
Current Firm
AF
ALPHA FINANCIAL ADVISORS, LLC
ALPHA FINANCIAL ADVISORS, LLC
CRD#: 122545 / SEC#: 801-79666
RIA
Registered Investment Advisory firm - (5/6/2014 Approved)Florida
Registered Investment Advisory firm - (5/12/2014 Terminated)North Carolina
Registered Investment Advisory firm - (5/12/2014 Terminated)South Carolina
Registered Investment Advisory firm - (5/12/2014 Terminated)Texas
Registered Investment Advisory firm - (5/12/2014 Terminated)Virginia
Registered Investment Advisory firm - (9/4/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
11325 N Community House Rd Suite #410, Charlotte, NC 28277-0524
Mailing Address
Phone number
(704) 716-1100
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,473 |
| AUM (Assets Under Management) | $ 503,100,285 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 12/20/2023 | ||
| 01/28/2023 |
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.
