Douglas C. Alford

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CRD#: 7502623

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.

Douglas Clifford Alford was a registered financial professional .

Douglas is a previously registered financial professional and started their career in finance in 2023. Douglas had worked at 2 firms .

Question & Answer

Are you a "fiduciary"?

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) MBE CPAs LLP; Not investment-related; 2370 W Ray Rd, 2, Chandler, AZ 85224; Accounting, tax, and business consulting; Tax Manager; Start date: 05/06/2024; Full-time position.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 21, 2024 - October 23, 2025

MBE WEALTH MANAGEMENT, LLC

RIA

CRD#: 165516

Chandler, AZ

Past

March 8, 2023 - October 28, 2024

ALFORD WEALTH MANAGEMENT, LLC

RIA

CRD#: 318259

CHANDLER, 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".

MBE WEALTH MANAGEMENT, LLC

CRD#: 165516 / SEC#: 801-110772

RIA

Registered Investment Advisory firm - (7/7/2017 Approved)

Arizona

Registered Investment Advisory firm - (7/28/2017 Terminated)

Texas

Registered Investment Advisory firm - (7/28/2017 Terminated)

Wisconsin

Registered Investment Advisory firm - (8/1/2017 Terminated)

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).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Current Firm

MBE WEALTH MANAGEMENT, LLC

CRD#: 165516 / SEC#: 801-110772

RIA

Registered Investment Advisory firm - (7/7/2017 Approved)

Arizona

Registered Investment Advisory firm - (7/28/2017 Terminated)

Texas

Registered Investment Advisory firm - (7/28/2017 Terminated)

Wisconsin

Registered Investment Advisory firm - (8/1/2017 Terminated)

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Contact information

Main Address

200 W. Warren St., Tomah, WI 54660

Mailing Address

Phone number

(608) 372-5521

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MBE WEALTH MANAGEMENT, LLC FORM ADV2A ("DISCLOSURE BROCHURE") AND APPENDIX 1 ("WRAP FEE PROGRAM BROCHURE") (3/18/2025)

Regulatory assets under management

Total Number of Accounts	2,530
AUM (Assets Under Management)	$ 859,645,230

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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Douglas C. Alford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MBE WEALTH MANAGEMENT, LLC

ALFORD WEALTH MANAGEMENT, LLC

Primary Firm SEC Registration

MBE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Current Firm

MBE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MBE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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