Alan Charles Gottlob

Current Employers

Employment History

• 07/2013 → 09/2017
  Tfs Securities, Inc.
  Lincroft, NJ
• 04/2001 → Present
  Shingle Oak Advisors, Llc
  Voorhees, NJ
• 08/2024 → Present
  Ethos Financial Group, Llc
  King Of Prussia, PA

Previous Registrations

• 2013-07-16 → 2017-09-19
  World Investments, Llc
  Lincroft, NJ
  Turnersville, NJ
• 2011-08-09 → 2013-07-05
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Bala Cynwyd, PA
• 2003-04-02 → 2011-08-17
  Shingle Oak Advisors, Llc
  Cherry Hill, NJ
  Voorhees, NJ
• 2011-06-16 → 2011-08-05
  Cpi Capital
  Voorhees, NJ
• 2003-05-28 → 2003-12-01
  Private Consulting Group, Inc.
  Cherry Hill, NJ
• 2002-10-21 → 2002-12-31
  Shingle Oak Advisors, Llc
  Cherry Hill, NJ

Other Businesses

SHINGLE OAK ADVISORS, LLC; INVESTMENT-RELATED; NJ; REGISTERED INVESTMENT ADVISOR; START DATE: 8/2001; APPROXIMATELY 100 HRS/MO DURING TRADING HOURS. WEST BAY HOLDINGS LTD; NOT INVESTMENT-RELATED; BOARD MEMBER; START DATE: 8/2025; APPROXIMATELY 10 HRS/MO OUTSIDE TRADING HOURS; PROVIDE STRATEGIC, CAPITAL & SOLVENCY & TREATY OVERSIGHT, ACTUARIAL GOVERNANCE AND SIT ON THE COMPENSATION & NOMINATION COMMITTEE. A2C1 CAPITAL LLC, INVESTMENT RELATED, NJ/CAY, MEMBER/GENERAL PARTNER, START DATE 2/16/2026, APPROX 5 HOURS PER MONTH IN TRADING HOURS, GENERAL BUSINESS OPERATIONS, OVERSIGHT AND GOVERNANCE Mr. Gottlob is a licensed insurance agent with various insurance companies, and in such capacity, may recommend, on a fully disclosed commission basis, the purchase of insurance products. The insurance activity is conducted at the same office location, 10 hours/month

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-05-14
• S63 Uniform Securities Agent State Law Examination
  1985-05-20