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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)10 years in industry

Alan Edward Concha

Advisor at LPL FINANCIAL LLC

FRANKLIN LAKES, NJ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:db4e2889-444c-1892-dcc2-71c2628f4e25

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Oct 15, 2018 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Oct 12, 2018
First registration: Oct 15, 2018
Dual registered: yes, broker-dealer
Other names: Alan Concha|Alan Edward Concha|Alan Edward Concha|Alan Concha
IAPD individual key: 6815242

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 12, 2024	n/a	yes	FRANKLIN LAKES, NJ	Current employment
OSAIC WEALTH, INC.	Bd affiliated wealth	Jun 14, 2024	Nov 13, 2024	no	FRANKLIN LAKES, NJ	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Apr 18, 2023	Jun 14, 2024	no	FRANKLIN LAKES, NJ	Previous registration
SMALLWOOD WEALTH MANAGEMENT	Independent wealth	Sep 9, 2022	Apr 6, 2023	no	RED BANK, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 15, 2018	Aug 6, 2021	no	NEW YORK, NY\|NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
OSAIC WEALTH, INC.	LPL FINANCIAL LLC	Nov 13, 2024	Nov 12, 2024	-1	Firm change	Ibd to ibd
SECURITIES AMERICA ADVISORS, INC.	OSAIC WEALTH, INC.	Jun 14, 2024	Jun 14, 2024	0	Bulk transfer	Ibd to ibd
SMALLWOOD WEALTH MANAGEMENT	SECURITIES AMERICA ADVISORS, INC.	Apr 6, 2023	Apr 18, 2023	12	Firm change	RIA to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	SMALLWOOD WEALTH MANAGEMENT	Aug 6, 2021	Sep 9, 2022	399	Firm change	Wirehouse to RIA

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
23131:6413:NJ:2024-11-13	Nov 13, 2024	Nov 12, 2024	FRANKLIN LAKES, NJ	Firm change

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Nov 12, 2024 to presentfactForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Jun 14, 2024 to Nov 13, 2024factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Apr 18, 2023 to Jun 14, 2024factForm ADV
→ SMALLWOOD WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Sep 9, 2022 to Apr 6, 2023factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 15, 2018 to Aug 6, 2021factForm ADV

Dated events

Occurred
Nov 13, 2024
Advisor changed firm
Alan Edward Concha left Osaic Wealth, Inc. for Lpl Financial Llc (registered 2024-11-12)
Form ADVobserved 4 days ago
Occurred
Apr 6, 2023
Advisor changed firm
Alan Edward Concha left Smallwood Wealth Management for Securities America Advisors, Inc. (registered 2023-04-18)
Form ADVobserved 4 days ago