Alan S. Kotaev

Current Employers

Tpk Advisors Llc

725 River Road Suite 32, #116, Edgewater, NJ 07020 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APP_PEND_IARCE	2026-01-01
NY	RA	APPROVED	2021-12-21
CT	RA	APPROVED	2019-04-18

NJ RA
APP_PEND_IARCE

Since 2026-01-01
NY RA
APPROVED

Since 2021-12-21
CT RA
APPROVED

Since 2019-04-18

Branch Locations

Cliffside Park, NJ • 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
Tpk Advisors Llc	Edgewater	NJ	01/2010	Present

01/2010 → Present

Tpk Advisors Llc

Edgewater, NJ

Previous Registrations

2010-02-16 → 2012-09-26

Tpk Advisors Llc
2009-05-07 → 2010-01-14

Mahler & Emerson Inc.

New York, NY

New York, NY

Other Businesses

(1) TPK ADVISORS LLC IS A REGISTERED INVESTMENT ADVISOR. MY POSITION A/O 1/26/2010 IS THAT OF PRESIDENT/PORTFOLIO MGR. MY DUTIES INCLUDE PORTFOLIO MGMT AND OVERSIGHT OF DAY TO DAY COMPLIANCE AND OPERATIONAL MATTERS. I DEVOTE APPROXIMATELY 150 HOURS A MONTH DURING TRADING HOURS TO THIS BUSINESS. (2) SINCE JANUARY 2014 PARTNER AT ALAN TRADE INC. LOCATED IN CLIFFSIDE PARK, NJ 07010. COMPANY IS RESPONSIBLE FOR EXPORT AND DISTRIBUTION OF SHERWIN WILLIAMS PRODUCTS IN RUSSIA. MY RESPONSIBILITIES INCLUDE CONTRACT NEGOTIATIONS AND ARRANGEMENT OF SHIPMENTS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2018-12-12
S63	Uniform Securities Agent State Law Examination	2007-10-03

S65 Uniform Investment Adviser Law Examination

2018-12-12
S63 Uniform Securities Agent State Law Examination

2007-10-03

View on SEC IAPD