Alan Faerber has been an investment adviser representative at Aegis Wealth Group since June 2025, and is not listed among the firm’s executive officers or direct owners.
Aegis Wealth Group, LLC is a Midvale, UT firm with $248M under management, 803 clients and 15 advisers across 2 offices, as of its July 2026 filing.
Alan Faerber’s longest registration was 5 years at TD Ameritrade Investment Management, LLC (2018–2023). Before joining Aegis Wealth Group in 2025, Alan Faerber was registered through Bountiful Financial Planning LLC and Charles Schwab & Co., Inc.
- Bountiful Financial Planning LLC– · under a yearWest Bountiful, UT · Adviser representative · Firm CRD 331866
- Charles Schwab & Co., Inc.– · 1 yearCottonwood Heights, UT · Adviser representative · Firm CRD 5393
- TD Ameritrade, Inc.– · 4 yearsCottonwood Heights, UT · Adviser representative · Firm CRD 7870
- TD Ameritrade Investment Management, LLC– · 5 yearsCottonwood Heights, UT · Adviser representative · Firm CRD 111514
- Scottrade Investment Management– · 1 yearSaint Louis, MO · Adviser representative · Firm CRD 169988
Investment adviser representative registrations
Alan Faerber is registered as an investment adviser representative in Utah, since June 2025.
- UtahSince 26 June 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 23 June 2016 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 7 December 2012 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 3 October 2012 |
| Series 7 | General Securities Representative Examination | 13 November 2008 |
| Series 63 | Uniform Securities Agent State Law Examination | 5 June 2007 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 22 May 2007 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Alan Bradley Faerber
- CRD
- 5288132
- Firm
- Aegis Wealth Group · CRD 222515
- Office
- 6900 SOUTH 900 EAST, SUITE 200, Midvale, UT 84047
- Registration
- Investment adviser registration
- In the industry since
- June 2008
- Disciplinary history
- Not yet shown here · SEC record
Where does Alan Faerber work?
Alan Faerber is an investment adviser representative registered through Aegis Wealth Group, LLC since June 2025, and is not listed among the firm’s executive officers or direct owners.
Is Alan Faerber a financial advisor?
Yes. Alan Faerber has a current investment-adviser registration in Utah, through Aegis Wealth Group since June 2025.
How many years of experience does Alan Faerber have?
Alan Faerber has 18 years in the financial industry, since June 2008, across 6 adviser firms.
What exams has Alan Faerber passed?
Alan Faerber has passed 6 licensing exams: the Series 6, Series 63, Series 7, Series 9, Series 10 and Series 66. The earliest, the Series 6, was passed in May 2007. FINRA credited Alan Faerber with the SIE, which began in October 2018.
Where did Alan Faerber work before Aegis Wealth Group?
Before Aegis Wealth Group, Alan Faerber was registered through Bountiful Financial Planning LLC, October 2024 to June 2025; Charles Schwab & Co., Inc., March 2022 to January 2024; TD Ameritrade, Inc., March 2018 to October 2022; TD Ameritrade Investment Management, LLC, February 2018 to September 2023; Scottrade Investment Management, June 2016 to February 2018.
Where is Alan Faerber based?
Alan Faerber’s registered office is in Midvale, UT.
Is Alan Faerber registered with FINRA?
No. Alan Faerber has no current broker registration.
How can I verify Alan Faerber’s record?
Search CRD 5288132 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Alan Faerber’s full registration record.