Robert J. Atkins

ALPHA WEALTH MANAGEMENT AND PLANNING LLC

SANTA ROSA, CA 95404

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CRD#: 850616

Professional summary

Robert Jackson Atkins, who also goes by Jack Atkins, is a registered financial advisor currently at ALPHA WEALTH MANAGEMENT AND PLANNING LLC located in Santa Rosa, California and LPL FINANCIAL LLC located in Santa Rosa, California.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. Robert has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jack Atkins

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. 04/29/2015 - ALPHA WEALTH MANAGEMENT AND PLANNING/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 90%/ SANTA ROSA, CA 2. 04/29/2015 - WEALTH STRATEGIES/ TAX PREP; ACCOUNTING; CPA/ 5%/ SANTA ROSA, CA 3. 08/12/2015 - ALPHA WEALTH MANAGMENT - REGISTERED INVESTMENT ADVISOR HYBRID - INV REL - AT REPORTED BUSINESS LOCATION(S) - START 04/29/2015 - 1 HR/MO DURING SECS TRDG HRS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Jackson Atkins'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

April 29, 2015 - Present

ALPHA WEALTH MANAGEMENT AND PLANNING LLC

Office #1: 902 Stevenson Street, Santa Rosa, CA 95404

RIA

CRD#: 163917

SANTA ROSA, CA

Current

April 29, 2015 - Present

LPL FINANCIAL LLC

Office #1: 100 E St Ste 205, Santa Rosa, CA 95404

RIA

CRD#: 6413

SANTA ROSA, CA

Past

July 2, 2012 - May 28, 2015

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

SANTA ROSA, CA

Past

July 8, 1997 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

SANTA ROSA, CA

Past

December 15, 1994 - May 12, 2015

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SANTA ROSA, CA

Past

May 31, 1989 - December 16, 1994

FIRST AFFILIATED SECURITIES

CRD#: 23737

LA JOLLA, CA

Past

March 9, 1983 - May 31, 1989

FIRST AFFILIATED SECURITIES, INC.

CRD#: 6871

SAN DIEGO, CA

Past

July 16, 1980 - March 15, 1983

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

January 31, 1980 - July 6, 1980

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

March 28, 1978 - January 31, 1980

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CRD#: 640

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".

ALPHA WEALTH MANAGEMENT AND PLANNING LLC

CRD#: 163917 / SEC#: 801-108554

RIA

Registered Investment Advisory firm - (10/27/2016 Approved)

California

Registered Investment Advisory firm - (12/30/2016 Terminated)

Texas

Registered Investment Advisory firm - (6/20/2022 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.

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

California
(4/29/2015)

IAR

California
(4/29/2015)

Colorado
(1/23/2020)

District of Columbia
(4/6/2021)

Georgia
(1/25/2022)

Nevada
(5/27/2015)

New York
(4/29/2015)

Oregon
(1/25/2022)

Utah
(4/29/2015)

Washington
(4/29/2015)

Wyoming
(1/23/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/6/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/19/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/18/1978

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 12/16/2006

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/19/1983

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 8/17/1983

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

ALPHA WEALTH MANAGEMENT AND PLANNING LLC

CRD#: 163917 / SEC#: 801-108554

RIA

Registered Investment Advisory firm - (10/27/2016 Approved)

California

Registered Investment Advisory firm - (12/30/2016 Terminated)

Texas

Registered Investment Advisory firm - (6/20/2022 Terminated)

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Contact information

Main Address

350 Ignacio Blvd Suite 105, Novato, CA 94949

Mailing Address

Phone number

(415) 506-4569

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - FIRM BROCHURE (3/29/2025)

Regulatory assets under management

Total Number of Accounts	1,411
AUM (Assets Under Management)	$ 355,865,030

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Robert J. Atkins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Jackson Atkins's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST AFFILIATED SECURITIES

FIRST AFFILIATED SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

Primary Firm SEC Registration

ALPHA WEALTH MANAGEMENT AND PLANNING LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/6/1995

Series 63

Date: 5/19/1986

SIE

Date: 10/1/2018

Series 7

Date: 3/18/1978

Series 51

Date: 12/16/2006

Series 24

Date: 8/19/1983

Series 4

Date: 8/17/1983

FINRA

Current Firm

ALPHA WEALTH MANAGEMENT AND PLANNING LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALPHA WEALTH MANAGEMENT AND PLANNING LLC

TRUST BUT VERIFY

Contact information

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