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AT

Alvin Tan

THE BALDWIN GROUP WEALTH ADVISORS
IRVINE, CA 92614
Some features on this profile are disabled
CRD#: 7211757
AT

Professional summary

Alvin Tan is a registered financial advisor currently at THE BALDWIN GROUP WEALTH ADVISORS, LLC located in Irvine, California and EQUITABLE ADVISORS, LLC located in Irvine, California.

Alvin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Alvin has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

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.
1.The Baldwin Group Wealth Advisors, LLC Investment related-Registered Investment Adviser 2050 Main Street, Suite 510 Irvine, CA 92614 One hundred sixty (plus) hours monthly - One hundred twenty hours monthly during securities trading hours 2. Employee of parent company The Baldwin Insurance Group, Inc. (through subsidiary The Baldwin Group Financial Services Holdings, LLC) [grouped under The Baldwin Group], 4211 W. Boy Scout Blvd., Suite 800, Tampa, FL 33607. Start Date: Jan 2021). 3.Equitable Advisors, LLC Investment related-Registered Representative New York, New York Twenty hours monthly during securities trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alvin Tan's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 6, 2022 - Present

THE BALDWIN GROUP WEALTH ADVISORS, LLC

Office #1: 2050 Main Street Suite 950, Irvine, CA 92614
RIA
CRD#: 312284
IRVINE, CA
Current

April 19, 2022 - Present

EQUITABLE ADVISORS, LLC

Office #1: 2050 Main Street Suite 510, Irvine, CA 92614
RIA
BD
CRD#: 6627
Irvine, CA
Past

April 19, 2022 - August 17, 2022

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
NEW YORK, NY
Past

June 5, 2020 - April 2, 2022

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
TUSTIN, CA
Past

February 18, 2020 - April 2, 2022

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
TUSTIN, CA

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".
TB
THE BALDWIN GROUP WEALTH ADVISORS, LLC
BURNHAM GIBSON WEALTH ADVISORS, LLC | THE BALDWIN GROUP WEALTH ADVISORS, LLC | THE BALDWIN GROUP

CRD#: 312284 / SEC#: 801-120404

RIA
Registered Investment Advisory firm - (2/26/2021 Approved)

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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(4/19/2022)
IAR
California
(5/6/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/29/2020
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/18/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/14/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

TB
THE BALDWIN GROUP WEALTH ADVISORS, LLC
BURNHAM GIBSON WEALTH ADVISORS, LLC | THE BALDWIN GROUP WEALTH ADVISORS, LLC | THE BALDWIN GROUP

CRD#: 312284 / SEC#: 801-120404

RIA
Registered Investment Advisory firm - (2/26/2021 Approved)
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Contact information

Main Address
4211 W. Boy Scout Blvd. Suite 800, Tampa, FL 33607
Mailing Address
Phone number
(813) 934-2743
Established
Firm type
Fiscal year end
# of Employees
36

SEC notice filing (35 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

THE BALDWIN GROUP WEALTH ADVISORS, LLC ADV P2A 03.26.2025 (4/9/2025)

Regulatory assets under management

Total Number of Accounts2,356
AUM (Assets Under Management)$ 21,043,141,324

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.

Company Information

THE BALDWIN GROUP WEALTH ADVISORS, LLC

CRD#: 312284Irvine, CA 92614

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