Alan Baca

Current Employers

Ethos Financial Group, Llc

2200 Renaissance Blvd Suite 340, King Of Prussia, PA 19406 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2026-01-31

CA RA
APPROVED

Since 2026-01-31

Branch Locations

San Diego, CA • United States

2200 Renaissance Blvd Suite 340, King Of Prussia, PA 19406 • 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

Organization	City	State	From	To
Bernstein Global Wealth Management	San Diego	CA	08/2012	05/2023
Ethos Financial Group, Llc	King Of Prussia	PA	11/2023	Present
Unemployed	San Diego	CA	05/2023	11/2023

08/2012 → 05/2023

Bernstein Global Wealth Management

San Diego, CA
11/2023 → Present

Ethos Financial Group, Llc

King Of Prussia, PA
05/2023 → 11/2023

Unemployed

San Diego, CA

Previous Registrations

2013-01-18 → 2023-05-03

Alliancebernstein L.P.

San Diego, CA

Other Businesses

Private Equity Investments, Investment Related, At work location, Managing Partner and/or General Partner of certain Private Equity investment partnerships, August 2023, Less than 20% of his time during securities trading hours, duties as may include raising capital from limited partners, deploying capital into investments, portfolio management.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2012-09-05

S66 Uniform Combined State Law Examination

2012-09-05

View on SEC IAPD