JS
Firm Information
Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
37 advisors
Number of Clients
1,720 clients
Average Client Portfolio
$908K average
Assets Under Management
$1.6B
Fee Structure
Investment management fees vary up to 2.00% annually, depending on the size and complexity of the client relationship. Fees are negotiable. Financial planning and consulting services are offered on an hourly or fixed fee basis, which may be negotiable. Retirement plan advisory services are charged an annual asset-based fee of up to 1.00%.
Areas of Practice
Investment ManagementRetirement PlanningFinancial Planning & CoachingHigh Net Worth
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Advisor Information
Office location
3000 Westchester Avenue, Suite 206, Purchase, NY, 10577
Get directionsRegulatory History (10)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
August 2021Final
Judgment / Lien
May 2019Judgment / Lien
September 2017Judgment / Lien
July 2017Customer Dispute
August 2010Closed-No Action
Customer Dispute
December 2009Closed-No Action
Regulatory
July 2008Final
Customer Dispute
March 2002Settled
Customer Dispute
June 2000Settled
Customer Dispute
October 1996Settled
Employment History
Current Registrations
Seacrest Wealth Management, LLC
December 2021 - Present · 4 yrs 1 mo
Previous Registrations
American Wealth Management, INC.
October 2021 - November 2021 · 1 mo
American Wealth Management, INC.
November 2013 - September 2021 · 7 yrs 10 mos
American Wealth Management, INC. Broker
January 2002 - September 2021 · 19 yrs 8 mos
Raymond James Financial Services, INC.Broker
January 1999 - January 2002 · 3 yrs
Robert Thomas Securities, INCBroker
August 1995 - January 1999 · 3 yrs 5 mos
Painewebber Incorporated Broker
July 1989 - July 1995 · 6 yrs
Baraban Securities, INC.Broker
June 1989 - July 1989 · 1 mo
State Registrations1 state
CA
Advisor
Exams
No exam information available for this advisor.