Alan Philip Niemann

Current Employers

Employment History

• 05/1999 → 11/2018
  Signator Investors Inc
  Oklahoma City, OK
• 11/2018 → 08/2020
  Royal Alliance Associates, Inc.
  Oklahoma City, OK
• 08/2020 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 08/2020 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA
• 08/2020 → Present
  Adaptation Financial Advisors Inc.
  Oklahoma City, OK

Previous Registrations

• 2018-11-02 → 2020-09-09
  Osaic Wealth, Inc.
  Oklahoma City, OK
  Dallas, TX
• 2000-01-01 → 2018-11-02
  Signator Investors, Inc.
  Houston, TX
  Austin, TX
  Beaumont, TX
  San Antonio, TX
  Spring, TX
  San Antonio, TX
  Oklahoma City, OK
  Wray, CO

Other Businesses

1.NIEMANN MORGAN HORSE, HORSE BREEDING, 11700 N BRYANT AVE, OKLAHOMA CITY, OK, NIR, 01/01/18, NIR, 20 HR/MO- 0/TRADING HR. 2.NIEMANN RANCH FLP, CO-TRUSTEE, FAMILY LIMITED PARTNERSHIP HELD IN TRUST, AGRICULTURE, 8550 MANNING RD EL RENO OK 73036, STARTED AUGUST 8 2014, APPROXIMATELY 10 HOURS PER MONTH NONE DURING SECURITIES TRADING HOURS. 3.NIEMANN CATTLE COMPANY, A LIVESTOCK BREEDING COMPANY, NIR, 20 HR/MO- 0/TRADING HR. 4.MILLENNIUM LLC, 700 CEDAR LAKE BLVD, OKLAHOMA CITY OK, 90% OWNER/MANAGER, COMMERCIAL REAL ESTATE, NIR, 09/01/99, APPROXIMATELY 3/WK- NONE DURING TRADING HOURS. 5.DIVERSIFIED INSURANCE BROKERAGE ASSOCIATES, LLC, 700 CEDAR LAKE BLVD OKLAHOMA CITY,OK 03/01/18, NIR, 1/3 OWNER, INSURANCE AGENCY, 10 HR/MONTH, 5/TRADING HR. 6.TNF INVESTMENTS, LLC, 11700 N BRYANT AVE, OKLAHOMA CITY, OK, OWNER MANAGER, LLC- 06/01/20, NIR, 0/M0-0/TRADING-INACTIVE ENTITY 7.CAMBRIDGE INVESTMENT RESEARCH ADVISORS, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING 08/31/20 8.APN ADAPTATION HOLDING COMPANY, LLC, 700 CEDAR LAKE BLVD, OKLAHOMA CITY, OK, LLC OWNER/MANAGER, 06/01/20, NIR, 0/YR- 0/TRADING 9.AVERY ASHTON, COM, 11700 N BRYANT AVE, OKLAHOMA CITY, OK, OWNER MANAGER, LLC, 01/04/10, NIR, 0/YR- 0/TRADING;INACTIVE ENTITY 10.ADAPTATION FINANCIAL, 700 CEDAR LAKE BLVD, OKLAHOMA CITY, OK, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 06/01/20, NIR, CEO/FOUNDER, 50/WK- 30/TRADING. IT ALSO PROVIDES AS OF 10/2022, IAR, NETWORKING, INV REL, 7 HR/MO - 2 HR/MO TRADING AND 11/2022, AGENT, REINSURANCE, NIR, 10 HR/MO - 2 HR/MO TRADING. 11.NIEMANN & ASSOCIATES, 700 CEDAR LAKE BLVD, OKLAHOMA CITY, OK, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 05/01/00, INV REL, CEO & FOUNDER, 0/YR- 0/TRADING 12.MDK FINANCIAL GROUP, 1912 BRANARD STREET, HOUSTON, TX, STOCK PURCHASE, BENEFICIAL SHAREHOLDER, 1 HR/MO- 0/TRADING HR. MDK FINANCIAL GROUP INC IS 100% OWNED BY ADAPTATION FINANCIAL ADVISORS INC. 13. MDK, 700 CEDAR LAKE BLVD, OKLAHOMA CITY, OK, 02/2023, BOARD MEMBER, NIR, 3 HR/MO, 0 HR/MO TRADING. 14. ALAN P NIEMANN, Oklahoma City OK 73114, 09/2023, Investment Committee, Volunteer, INV REL, 3 HR/MO - 2 Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-10-18
• S63 Uniform Securities Agent State Law Examination
  1984-08-07

Designations