Alan Mark Kleinberg

CFP

Captrust

25 Years of Experience

Broker

View SEC Summary

Areas of Practice

Investment ManagementRetirement Planning

Captrust

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

841 advisors

Number of Clients

36,839 clients

Average Client Portfolio

$29.4M average

Assets Under Management

$1083.1B

Location

3 Dakota Drive, Suite 310, Lake Success, NY, 11042

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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.

Employment History

Current Registrations

Captrust

October 2018 - Present · 7 yrs 4 mos

Capfinancial Securities, LLC.Broker

October 2018 - Present · 7 yrs 4 mos

Previous Registrations

First Capital Equities,ltd.Broker

July 2002 - November 2018 · 16 yrs 4 mos

Trinix Securities LLCBroker

February 2002 - June 2002 · 4 mos

Andover Brokerage, L.L.C.Broker

January 2002 - February 2002 · 1 mo

Trinix Securities LLCBroker

July 2001 - January 2002 · 6 mos

J.P.R. Capital CORP.Broker

January 1998 - February 1998 · 1 mo

David Lerner Associates, INC.Broker

November 1994 - December 1995 · 1 yr 1 mo

State Registrations8 states

CTFLKYMANJNYTXVA

AdvisorBrokerBoth

Exams

No exam information available for this advisor.