Aaron R. Simpson

ALPHA PLANNING AND FINANCIAL SERVICES

SOLON, OH 44139

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CRD#: 6950543

Professional summary

Aaron Royce Simpson, CFP®, ChFC® is a registered financial advisor currently at ALPHA PLANNING AND FINANCIAL SERVICES, INC. located in Solon, Ohio.

Aaron is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Aaron has worked at 1 firm 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Royce Simpson'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^®

Certified Financial Planner

Start date: 2020

ChFC^®

Chartered Financial Consultant

Experience

Current

May 25, 2018 - Present

ALPHA PLANNING AND FINANCIAL SERVICES, INC.

Office #1: 31005 Bainbridge Road Suite 6, Solon, OH 44139

RIA

CRD#: 130842

SOLON, OH

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

Florida
(12/21/2023)

IAR

Ohio
(5/25/2018)

IAR

Texas
(6/12/2024)

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 65

Date: 5/2/2018

Uniform Investment Adviser Law Examination

Current Firm

ALPHA PLANNING AND FINANCIAL SERVICES, INC.

ALPHA PLANNERS, INC. | LEGACY WEALTH PARTNERS, INC. | ALPHA PLANNING AND FINANCIAL SERVICES, INC.

CRD#: 130842 / SEC#:

Florida

Registered Investment Advisory firm - (12/21/2023 Approved)

Maine

Registered Investment Advisory firm - (1/6/2010 Terminated)

North Carolina

Registered Investment Advisory firm - (11/19/2009 Terminated)

Ohio

Registered Investment Advisory firm - (3/23/2004 Approved)

Pennsylvania

Registered Investment Advisory firm - (11/15/2013 Terminated)

Texas

Registered Investment Advisory firm - (5/30/2024 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

31005 Bainbridge Road Suite 6, Solon, OH 44139

Mailing Address

Phone number

(440) 519-0300

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	485
AUM (Assets Under Management)	$ 86,689,881

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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Aaron R. Simpson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Royce Simpson's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPHA PLANNING AND FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/2/2018

Current Firm

ALPHA PLANNING AND FINANCIAL SERVICES, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ALPHA PLANNING AND FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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