Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Berman is a financial advisor with LPL Financial LLC in SANTA ROSA, CA. Alan has been in the financial services industry for over 35 years, and has held positions with multiple firms including SAGEPOINT FINANCIAL, INC., AMERICAN GENERAL SECURITIES INCORPORATED, and USLIFE EQUITY SALES CORP. Alan is a CERTIFIED FINANCIAL PLANNER™ professional. Alan Berman provides financial planning, investment management, and other consulting services to individuals, families, and businesses.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
01/03/2020 - Present
LPL Financial LLC (SANTA ROSA CA)
CA
10/31/2008 - 01/08/2020
SAGEPOINT FINANCIAL, INC. (SANTA ROSA CA)
CA
07/11/2003 - 10/31/2008
AMERICAN GENERAL SECURITIES INCORPORATED (SANTA ROSA CA)
CA
05/15/2003 - 06/17/2003
ZAHORIK COMPANY, INC. (PASADENA CA)
AZ
10/01/1997 - 05/15/2003
AMERICAN GENERAL SECURITIES INCORPORATED (PHOENIX AZ)
NY
01/17/1995 - 10/01/1997
USLIFE EQUITY SALES CORP. (NEW YORK NY)
CA
08/25/1989 - 08/29/1995
FIRST AFFILIATED SECURITIES (LA JOLLA CA)
NA
08/05/1988 - 08/25/1989
PFG SECURITIES, INC.
NA
12/24/1987 - 09/26/1988
INTEGRATED RESOURCES EQUITY CORPORATION
NA
04/02/1985 - 12/24/1987
FINANCIAL PLANNERS EQUITY CORPORATION
NA
01/25/1984 - 03/11/1985
WASHINGTON NATIONAL EQUITY COMPANY
BC
Issued 11/13/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/09/1990
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/21/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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