Alexander F. Lippitt

NORTHEAST FINANCIAL GROUP

Evanston, IL

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CRD#: 7610217

Professional summary

Alexander Farnum Lippitt III, who also goes by Alexander Farnum Lippitt, is a registered financial advisor currently at NORTHEAST FINANCIAL GROUP, INC. located in Evanston, Illinois.

Alexander is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Alexander has worked at 1 firm and has passed the Series 3 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alexander Farnum Lippitt

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 Alexander Farnum Lippitt III'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

August 19, 2022 - Present

NORTHEAST FINANCIAL GROUP, INC.

RIA

CRD#: 122609

Evanston, IL

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".

NORTHEAST FINANCIAL GROUP, INC.

NORTHEAST FINANCIAL GROUP, INC | NORTHEAST FINANCIAL GROUP,INC | NORTHEAST FINANCIAL GROUP, INC.

CRD#: 122609 / SEC#: 801-78187

RIA

Registered Investment Advisory firm - (6/14/2013 Approved)

Maryland

Registered Investment Advisory firm - (8/12/2013 Terminated)

New Jersey

Registered Investment Advisory firm - (6/26/2013 Terminated)

New York

Registered Investment Advisory firm - (6/25/2013 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/26/2013 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.

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

Illinois
(8/19/2022)

IAR

Pennsylvania
(12/12/2024)

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

General Industry/Product Exam

Series 3

Date: 12/22/2015

National Commodity Futures Examination

Current Firm

NORTHEAST FINANCIAL GROUP, INC.

NORTHEAST FINANCIAL GROUP, INC | NORTHEAST FINANCIAL GROUP,INC | NORTHEAST FINANCIAL GROUP, INC.

CRD#: 122609 / SEC#: 801-78187

RIA

Registered Investment Advisory firm - (6/14/2013 Approved)

Maryland

Registered Investment Advisory firm - (8/12/2013 Terminated)

New Jersey

Registered Investment Advisory firm - (6/26/2013 Terminated)

New York

Registered Investment Advisory firm - (6/25/2013 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/26/2013 Terminated)

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Contact information

Main Address

3435 Winchester Road Suite 102, Allentown, PA 18104

Mailing Address

Phone number

(570) 688-9898

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NORTHEAST FINANCIAL GROUP, INC. DISCLOSURE BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,368
AUM (Assets Under Management)	$ 1,205,206,195

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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Alexander F. Lippitt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alexander Farnum Lippitt III's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHEAST FINANCIAL GROUP, INC.

Primary Firm SEC Registration

NORTHEAST FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 3

Date: 12/22/2015

Current Firm

NORTHEAST FINANCIAL GROUP, INC.

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORTHEAST FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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