Best Investors Account Sign in
Current Employers
Alpha Wealth Management And Planning Llc

690 De Long Ave. Suite 300, Novato, CA 94945 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2012-07-12
CA RA APPROVED 2012-06-29
  • TX RA
    APPROVED_RES
    Since 2012-07-12
  • CA RA
    APPROVED
    Since 2012-06-29

Branch Locations

350 Ignacio Blvd Suite 105, Novato, CA 94949 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Novato CA 06/2012 Present
Alpha Wealth Management And Planning Llc Novato CA 06/2012 Present
Previous Registrations
Other Businesses

(1) 3/20/2013: REAL ESTATE RENTAL - REAL ESTATE PROPERTY. - TIME SPENT 1% - NOVATO, CA. (2) 8/30/2013: DBA ONLY - ALPHA WEALTH MANAGEMENT AND PLANNING, LLC - NOVATO, CA (3) 8/22/2017: Westland Financial Services, INC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/14/2012 - 5 Hours Per Month/2 Hours During Securities Trading. (4) 8/22/2017: The Webb Agency - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 08/01/2017 - 10 Hours Per Month/5 Hours During Securities Trading. (5) 8/30/2017: Alpha Wealth Management and Planning LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Started 06/29/2012 - Time Spent 100% - I provide investment advisory services through Alpha Wealth Management and Planning LLC., an independent investment advisor firm. I started this business activity on 8/29/2017. I expect to spend approximately 100 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. (6) 02/23/2022 - JAJ Real Estate Properties - Investment Related - 350 Ignacio Blvd. Suite 105, Novato CA 94949 and Kings Beach CA - Real Estate Rental - Start Date: 01/01/2010 - 1 Hour Per Month/0 Hours During Securities Trading.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-09-26
  • S63 Uniform Securities Agent State Law Examination
    1996-09-26
Designations

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Novato, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor