Michael Joseph Alba

Employer firm

Edelman Financial Engines CRD 104510

$326B regulatory AUM 322,130 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2013 → 11/2019
  Hsbc Securities (Usa) Inc.
  Buffalo, NY
• 12/2019 → 12/2020
  Td Ameritrade
  Williamsville, NY
• 11/2019 → 12/2019
  Unemployed
  Lancaster, NY
• 12/2020 → 03/2021
  Citizens Securities, Inc.
  East Amherst, NY
• 03/2026 → Present
  Edelman Financial Engines
  Santa Clara, CA
• 03/2021 → 03/2026
  Innovative Ecom Llc
  Sheridan, WY

Previous Registrations

• 2021-01-07 → 2021-03-15
  Citizens Securities, Inc.
  Syracuse, NY
  East Amherst, NY
• 2020-01-13 → 2021-01-11
  Td Ameritrade, Inc.
  Amherst, NY
• 2020-01-13 → 2020-12-31
  Td Ameritrade Investment Management, Llc
  Williamsville, NY
• 2012-12-12 → 2019-12-03
  Hsbc Securities (Usa) Inc.
  Orchard Park, NY
  Buffalo, NY
  Buffalo, NY
  Buffalo, NY
  Buffalo, NY
  Buffalo, NY

Other Businesses

1) Innovative Ecom, LLC; INVESTMENT RELATED: No; ADDRESS: 1309 Coffeen Ave, Suite 3558; NATURE: Amazon FBA Online reselling of Brand name goods ; POSITION: Owner; START DATE: 03/2021; NUMBER OF HOURS/MONTH: 10 Hrs.; HOURS/MNTH DURING SECURITIES TRADING HOURS: 0 Hrs.; DUTIES: Oversee Product Sourcing and purchasing.

Exams

• S65 Uniform Investment Adviser Law Examination
  2026-05-01
• S66 Uniform Combined State Law Examination
  2012-12-11
• S63 Uniform Securities Agent State Law Examination
  2004-06-10

Other Names

• Michael J Alba