AW
Alan B. Werba
WERBA RUBIN PAPIER WEALTH MANAGEMENT
San Jose, CA 95112
Some features on this profile are disabled
CRD#: 837358
AW
Professional summary
Alan Bruce Werba, CFP® is a registered financial advisor currently at WERBA RUBIN PAPIER WEALTH MANAGEMENT, LLC located in San Jose, California.
Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1977. Alan has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1, Series 27 and Series 24 exams.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Retirement Planning
Investment Planning
Tax Planning
Estate Planning
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.
IN ADDITION TO BEING A REGISTERED REPRESENTATIVE OF LORING WARD SECURITIES INC., THIS INDIVIDUAL IS AN INVESTMENT ADVISER REPRESENTATIVE OF LWI FINANCIAL INC., AN AFFILIATED INVESTMENT ADVISORY COMPANY. HE IS ALSO AN INVESTMENT ADVISER REPRESENTATIVE OF WERBA RUBIN WEALTH MANAGEMENT, LLC, AN UNAFFILIATED INVESTMENT ADVISORY COMPANY.
BELOW IS A SUMMARY OF THE ACTIVITIES AND SERVICES THAT ARE PROVIDED OUTSIDE OF THE NORMAL ADVISORY ACTIVITIES:
1) PRESIDENT OF WERBA ADVISORY SERVICES, INC. TAX PREPARATION AND CONSULTATION FEES. ANNUAL TAX REVENUES OF APPROXIMATELY $150,000, WHICH REPRESENTS LESS THAN 10% OF TOTAL REVENUES EARNED. NOT INVESTMENT RELATED.
2) INSURANCE SERVICES UNDER INDIVIDUAL'S FIRE, CASUALTY AND LIFE INSURANCE LICENSES, FOR 25 YEARS. COMPENSATED IN FORM OF COMMISSIONS. LESS THAN 1% OF EARNED INCOME IS DERIVED FROM THIS SERVICE. NOT INVESTMENT-RELATED.
3) REAL ESTATE BROKER, OWNER, 25 YRS, COMPENSATION IN FORM OF COMMISSIONS & REFERRAL FEES, LESS THAN ONE PERCENT FROM THIS ACTIVITY OF TOTAL REVENUES. NOT INVESTMENT RELATED.
4)CHAIRMAN, WERBA REINHARD, INC., A DELAWARE CORP, PARENT COMPANY OF LWI FINANCIAL INC. AS OF JANUARY 2014, APPROXIMATELY 7.5% SHAREHOLDER, NO COMPENSATION, 20 HOURS PER MONTH.
CRS (Client Relationship Summary) - RIA
Click below to view Alan Bruce Werba'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®
Start date: 1985
Experience
Current
January 8, 2007 - Present
WERBA RUBIN PAPIER WEALTH MANAGEMENT, LLC
Office #1: 1732 North 1st Street Suite 220, San Jose, CA 95112RIA
CRD#: 139237
San Jose, CA
Past
January 1, 1999 - December 8, 2016
LWI FINANCIAL INC.
RIA
CRD#: 111861
SAN JOSE, CA
Past
January 1, 1999 - December 2, 2016
LORING WARD SECURITIES INC.
BD
CRD#: 46337
San Jose, CA
Past
September 29, 1993 - January 1, 1999
REINHARDT WERBA BOWEN SECURITIES, INC.
BD
CRD#: 34202
SAN JOSE, CA
Past
April 6, 1992 - July 15, 1993
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
November 19, 1989 - July 30, 1991
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
April 5, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
November 30, 1977 - March 31, 1988
SOUTHMARK FINANCIAL SERVICES, INC.
BD
CRD#: 6518
Past
May 4, 1977 - March 11, 1986
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
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".
WR
WERBA RUBIN PAPIER WEALTH MANAGEMENT, LLC
WERBA & DAVIS ADVISORY SERVICES, LLC | WERBA RUBIN WEALTH MANAGEMENT, LLC | WERBA RUBIN PAPIER WEALTH MANAGEMENT, LLC | WERBA ADVISORY SERVICES, LLC | WERBA ADVISORY SERVICES, INC.
CRD#: 139237 / SEC#: 801-66794
RIA
Registered Investment Advisory firm - (6/2/2006 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.Highlighted states indicate IAR registrations
IAR
California(1/8/2007)
IAR
Texas(1/20/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 4/28/1977
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
WR
WERBA RUBIN PAPIER WEALTH MANAGEMENT, LLC
WERBA & DAVIS ADVISORY SERVICES, LLC | WERBA RUBIN WEALTH MANAGEMENT, LLC | WERBA RUBIN PAPIER WEALTH MANAGEMENT, LLC | WERBA ADVISORY SERVICES, LLC | WERBA ADVISORY SERVICES, INC.
CRD#: 139237 / SEC#: 801-66794
RIA
Registered Investment Advisory firm - (6/2/2006 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1732 North 1st Street Suite 220, San Jose, CA 95112
Mailing Address
Phone number
(408) 217-2000
Established
Firm type
Fiscal year end
# of Employees
15
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,939 |
| AUM (Assets Under Management) | $ 1,129,509,616 |
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.
