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Lee Harvey Falberg

Alliance Advisory & Securities, LLC

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About Lee Harvey Falberg

Lee Falberg is a financial advisor associated with Alliance Advisory & Securities, LLC. Lee is a registered investment advisor in California. Lee has been in the financial services industry since 2002. Lee has a strong commitment to providing excellent service to clients. Lee has experience working with individuals, families, and businesses. Lee is committed to helping clients achieve their financial goals.

Firm Information

Lee Falberg is currently registered with Alliance Advisory & Securities, LLC. Alliance Advisory & Securities, LLC is a Terminated Corporation that was formed on 1982-05-12. The firm's main office is located in WESTLAKE VILLAGE, CA, United States. They provide financial planning, pension consulting, educational seminars, selection of other advisers, portfolio management for businesses, portfolio management for individuals, and portfolio management for pooled investment vehicles. The firm manages approximately $608,366,297 in assets and serves a variety of client types, including charitable organizations, high-net-worth individuals, pooled investment vehicles, and individuals other than high-net-worth.
Alliance Advisory & Securities, LLC

31248 E. OAK CREST DRIVE STE 100

WESTLAKE VILLAGE, CA 91361

$608.37M

Assets Under Management

698

Total Clients

15

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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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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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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Lee Falberg’s Registration & Firm History

CA

11/03/2003 - Present

Alliance Advisory & Securities, LLC (WESTLAKE VILLAGE CA)

CA

12/20/2003 - 06/21/2021

ALLIANCE ADVISORY & SECURITIES, INC. (WESTLAKE VILLAGE CA)

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Licenses & Designations

BC

Issued 01/30/2004

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 06/14/2002

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/19/2003

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Lee Harvey Falberg.
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