Alan B. Ungar
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alan Blum Ungar was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1980. Alan had worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2014 - February 1, 2021
ABACUS WEALTH PARTNERS
July 8, 1997 - June 7, 2014
CRITICAL CAPITAL MANAGEMENT, INC.
August 1, 1995 - April 24, 1997
LAGUNA SECURITIES, INC.
February 13, 1991 - August 1, 1995
WEALTH RESOURCE CAPITAL CORPORATION
May 25, 1984 - February 11, 1991
ASSOCIATED SECURITIES CORP.
January 2, 1980 - May 4, 1984
TITAN/VALUE EQUITIES GROUP, INC.
Primary Firm SEC Registration
ABACUS WEALTH PARTNERS
CRD#: 128590 / SEC#: 801-62557
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ABACUS WEALTH PARTNERS
CRD#: 128590 / SEC#: 801-62557
Contact information
SEC notice filing (39 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,866 |
| AUM (Assets Under Management) | $ 3,270,847,563 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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