Alan Wolberg is a registered investment advisor at Jefferies Investment Advisers LLC, based in New York, NY, with 32 years of industry experience. Alan operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Insurance Planning, Tax Planning. Their firm serves 2,018 clients with $3.4B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
520 Madison Avenue, New York, NY, 10022
Get directionsHistory
Regulatory History
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.
Learn about disclosures →Employment History
Current Registrations
Jefferies Investment Advisers LLC
Jefferies LLC
Jefferies LLCBroker
Previous Registrations
Leucadia Asset Management LLC
City National Securities, INC.
City National Securities, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
First Republic Securities Company, LLCBroker
First Republic Investment Management, INC.
Guardian Investor Services LLCBroker
Morgan Stanley Smith Barney LLC
Morgan Stanley Smith BarneyBroker
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley Dw INC.Broker
Sun Life of Canada (U.S.) Distributors, INC.Broker
Salomon Smith Barney INC.Broker
Royal Alliance Associates, INC.Broker
1717 Capital Management CompanyBroker
Equico Securities, INC.Broker
The Equitable Life Assurance Society of the United StatesBroker
State Registrations53 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.