AB
AB

Alan Jay Bernstein

23 Years of Experience
Broker
Areas of Practice
Investment ManagementRetirement Planning
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
429 advisors
Number of Clients
34,052 clients
Average Client Portfolio
$184K average
Assets Under Management
$6.3B

Fee Structure

Minimum Investment:$25K
Financial Planning:Investment management only
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Location

231 Coram Avenue, Shelton, CT, 06484

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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 Activities

Alan uses "CT Institute of Finance" as a DBA for marketing and branding purposes since 2012, and also works as a tax preparer through the same entity since 2003, dedicating full-time hours to this from January to April. Additionally, Alan coaches clients on individual and business needs through Sound Coaching Inc. since 2009, dedicating about a quarter of his time.

Employment History
Current Registrations
Centaurus Financial, INC.
May 2017 - Present · 8 yrs 9 mos
Centaurus Financial, INC.
May 2017 - Present · 8 yrs 9 mos
Centaurus Financial, INC.Broker
May 2017 - Present · 8 yrs 9 mos
Previous Registrations
American Portfolios Advisors, INC
April 2013 - June 2017 · 4 yrs 2 mos
American Portfolios Financial Services, INC.Broker
February 2011 - May 2017 · 6 yrs 3 mos
Sound Asset Management Group, LLC
March 2008 - April 2013 · 5 yrs 1 mo
Qa3 Financial CORP.Broker
January 2008 - February 2011 · 3 yrs 1 mo
Sound Asset Management, INC.
February 2006 - December 2009 · 3 yrs 10 mos
Royal Alliance Associates, INC.Broker
December 2002 - January 2008 · 5 yrs 1 mo
Prime Capital Services, INC.Broker
June 2002 - December 2002 · 6 mos
State Registrations4 states
CACTFLNY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.