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Alan Baca

Ethos Financial Group, LLC

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About Alan Baca

Alan Baca is an investment advisor representative with Ethos Financial Group, LLC, and has been in the industry since January 2013. Alan has a background in providing financial planning, portfolio management for businesses and individuals, pension consulting, and selection of other advisors.

Firm Information

Alan Baca is currently registered with Ethos Financial Group, LLC. Ethos Financial Group, LLC is an investment advisor headquartered in KING OF PRUSSIA, PA. The firm manages approximately $913,934,805 in client assets, with a focus on providing financial planning, pension consulting, selection of other advisors, and portfolio management services for individuals, businesses, and charitable organizations. The firm has 20 investment advisor representatives and 12 licensed agents.
Ethos Financial Group, LLC

2200 RENAISSANCE BLVD

KING OF PRUSSIA, PA 19406

$913.93M

Assets Under Management

Not reported

Total Clients

21

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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Alan Baca’s Registration & Firm History

CA

11/06/2023 - Present

Ethos Financial Group, LLC (San Diego CA)

CA

01/18/2013 - 05/03/2023

SANFORD C. BERNSTEIN & CO., LLC (SAN DIEGO CA)

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Licenses & Designations

BOTH

Issued 09/05/2012

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2020

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 09/13/2019

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/31/2014

Series 31 - Futures Managed Funds Examination

BC

Issued 01/17/2013

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Alan Baca.
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