AK
Alan L. Kaye
TLG ADVISORS
Beverly Hills, CA 90210
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CRD#: 864801
AK
Professional summary
Alan Littman Kaye, who also goes by Alan L Kaye, is a registered financial advisor currently at TLG ADVISORS, INC. located in Beverly Hills, California and THE LEADERS GROUP, INC. located in Summit, New Jersey.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Alan has worked at 7 firms and has passed the Series 63, Series 22TO, Series 6TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alan L Kaye
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.
CRS (Client Relationship Summary) - RIA
Click below to view Alan Littman Kaye'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®
NoneExperience
Current
December 2, 2021 - Present
TLG ADVISORS, INC.
Office #1: 9595 Wilshire Blvd, Suite 324, Beverly Hills, CA 90210RIA
CRD#: 111052
Beverly Hills, CA
Current
December 1, 2021 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901BD
CRD#: 37157
SUMMIT, NJ
Past
September 24, 2014 - December 10, 2021
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
BEVERLY HILLS, CA
Past
September 24, 2014 - December 10, 2021
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
BEVERLY HILLS, CA
Past
April 10, 2002 - September 10, 2014
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
BEVERLY HILLS, CA
Past
September 13, 1999 - September 10, 2014
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
BEVERLY HILLS, CA
Past
April 2, 1999 - September 27, 1999
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
August 18, 1995 - March 30, 1999
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
April 17, 1979 - January 10, 1994
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
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".
TA
TLG ADVISORS, INC.
ABUNDANT WEALTH MANAGEMENT | XCEPTION ADVISORY GROUP | WILLIAM STAPLES INS & FINANCIAL SVCS INC | WEALTH STRATEGIES GROUP | WEALTH ADVANTAGE GROUP | TLG ADVISORS, INC. | THE WADSWORTH GROUP | STRATEGIC PLANNING GROUP PLLC | STARLIGHT PORTFOLIOS | SENIOR FINANCIAL PLANNING LLC | RIVERTREE FINANCIAL PLANNING LLC | RESOURCE INSURANCE & FINANCIAL GROUP | RAABE & ASSOCIATES | PASSERELLE ADVISORS | PACIFIC PEAK ADVISORS | PACIFIC CAPITAL STRATEGIES, INC. | MILESTONE FINANCIAL SOLUTIONS | MACK FINANCIAL GROUP, INC | INSLEY INVESTMENT GROUP LLC | INSLEY INVESTMENT GROUP | HN WEALTH MANAGEMENT | HANSON WEALTH MANAGEMENT | GIDEON STRATEGIC PARTNERS, | GERRARD ADVISORS LLC | GARLIKOV ADVISORS INC | CLARITY FINANCIAL | CANTILEVER WEALTH MANAGEMENT LLC | ASSET MANAGEMENT GROUP
CRD#: 111052 / SEC#: 801-60458
RIA
Registered Investment Advisory firm - (8/6/2001 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(12/1/2021)
IAR
California(12/2/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 4/9/1979
Registered Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
TA
TLG ADVISORS, INC.
ABUNDANT WEALTH MANAGEMENT | XCEPTION ADVISORY GROUP | WILLIAM STAPLES INS & FINANCIAL SVCS INC | WEALTH STRATEGIES GROUP | WEALTH ADVANTAGE GROUP | TLG ADVISORS, INC. | THE WADSWORTH GROUP | STRATEGIC PLANNING GROUP PLLC | STARLIGHT PORTFOLIOS | SENIOR FINANCIAL PLANNING LLC | RIVERTREE FINANCIAL PLANNING LLC | RESOURCE INSURANCE & FINANCIAL GROUP | RAABE & ASSOCIATES | PASSERELLE ADVISORS | PACIFIC PEAK ADVISORS | PACIFIC CAPITAL STRATEGIES, INC. | MILESTONE FINANCIAL SOLUTIONS | MACK FINANCIAL GROUP, INC | INSLEY INVESTMENT GROUP LLC | INSLEY INVESTMENT GROUP | HN WEALTH MANAGEMENT | HANSON WEALTH MANAGEMENT | GIDEON STRATEGIC PARTNERS, | GERRARD ADVISORS LLC | GARLIKOV ADVISORS INC | CLARITY FINANCIAL | CANTILEVER WEALTH MANAGEMENT LLC | ASSET MANAGEMENT GROUP
CRD#: 111052 / SEC#: 801-60458
RIA
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Contact information
Main Address
475 Springfield Ave, Summit, NJ 07901
Mailing Address
Phone number
(888) 371-0013
Established
Firm type
Fiscal year end
# of Employees
280
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,331 |
| AUM (Assets Under Management) | $ 1,948,103,893 |
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.
