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Alphastar Capital Management CRD 157423
$2.50B regulatory AUM 28 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
19520 West Catawba Avenue Suite 112, Cornelius, NC 28031 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-12-15 |
Branch Locations
1819 Main Street Suite 260, Sarasota, FL 34236 • United States
19520 West Catawba Avenue Suite 112, Cornelius, NC 28031 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab Inc | West Lake | TX | 05/2020 | 03/2023 |
| Usaa Financial Advisors Inc | San Antonio | TX | 08/2015 | 05/2020 |
| Unemployed | Holmes Beach | FL | 03/2023 | 07/2023 |
| Dale Holdings Corp. | New York | NY | 08/2023 | 10/2023 |
| Northwestern Mutual Investment Services Llc | New York | NY | 08/2023 | 10/2023 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bradenton | FL | 03/2024 | 11/2024 |
| Summit Delivery Systems | New York | NY | 12/2023 | 03/2024 |
| Bank Of America, N.A. | Bradenton | FL | 04/2024 | 11/2024 |
| Trajan Wealth, Llc | Scottsdale | AZ | 11/2024 | 10/2025 |
| Alphastar Capital Management | Sarasota | FL | 12/2025 | Present |
| Stanley Wealth Retirement | Sarasota | FL | 12/2025 | Present |
Lee W. Northern has a financial industry affiliated business as an insurance agent. Not more than 30% of his time is spent on this activity. From time to time, he offers clients advice or products from this activity. He may receive separate yet typical compensation in the form of commissions for the sale of insurance products (i.e. annuities) with commission and/or revenue sharing arrangements typically ranging from 3% to 7%. These practices represent conflicts of interest because it gives Mr. Northern an incentive to recommend products based on the commission amount received. This conflict is mitigated by the fact that Mr. Northern has a fiduciary responsibility to place the best interest of the client first and clients are not required to purchase any insurance products. Clients have the option to purchase these products through another insurance agent of their choosing.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-10-06 |
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