AN
ChFC
AN
ChFC

Alan Philip Niemann

41 Years of Experience
BrokerSells Insurance
Areas of Practice
Retirement PlanningDivorce PlanningEstate PlanningEducation PlanningFinancial Planning & CoachingInvestment Management
Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Firm Size
3842 advisors
Number of Clients
323,031 clients
Average Client Portfolio
$317K average
Assets Under Management
$102.4B

Fee Structure

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Location

1912 Branard St., Houston, TX, 77098

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Alan is involved in several business activities, including horse and cattle breeding, real estate, and insurance. He dedicates a significant amount of time to Adaptation Financial as an independent insurance agent and IAR, and also owns a share of Diversified Insurance Brokerage Associates, LLC.

Employment History
Current Registrations
Adaptation Financial Advisors INC.
August 2020 - Present · 5 yrs 6 mos
Cambridge Investment Research, INC.Broker
August 2020 - Present · 5 yrs 6 mos
Cambridge Investment Research Advisors, INC.
August 2020 - Present · 5 yrs 6 mos
Previous Registrations
Royal Alliance Associates, INC.Broker
November 2018 - September 2020 · 1 yr 10 mos
Royal Alliance Associates, INC.
November 2018 - September 2020 · 1 yr 10 mos
Signator Investors, INC.
January 2000 - November 2018 · 18 yrs 10 mos
Signator Investors, INC.Broker
May 1999 - November 2018 · 19 yrs 6 mos
Mony Securities CorporationBroker
May 1984 - May 1999 · 15 yrs
State Registrations24 states
ALARAZCACOGAILINKSLAMNMOMSNCNDNENVNYOHOKSCTXVAWA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.