Alan Niemann has been CEO, Chief Compliance Officer of Adaptation Financial Advisors since March 2021, is a control person of the firm and directly owns under 5% of it. Alan Niemann holds a Bachelor of Science in Agriculture Economics and Farm & Ranch management from Oklahoma State University.
Adaptation Financial Advisors Inc. is an Oklahoma City, OK firm with $234M under management, 690 clients and 4 advisers across 3 offices, as of its May 2026 filing.
Alan Niemann is Founder and CEO of Adaptation Financial Advisors. He has over 40 years of experience in the financial services industry. He started his career in 1983 with Mutual of New York as a Field Underwriter, later became Agency Manager of the Oklahoma City MONY office, and in May 1999 was appointed General Agent for John Hancock in Oklahoma City. He transitioned the firm in 2013 and rebranded it in 2020 as Adaptation Financial Advisors.
Alan Niemann’s longest registration was 18 years at Signator Investors, Inc. (2000–2018). Before joining Adaptation Financial Advisors in 2020, Alan Niemann was registered through Royal Alliance Associates, Inc. and Signator Investors, Inc.
- Cambridge Investment Research Advisors, Inc.Also current– present · 6 yearsAdviser representative · Firm CRD 134139
- – present · 6 yearsOklahoma City, OK · Adviser representative · Firm CRD 309192
- Royal Alliance Associates, Inc.– · 1 yearDallas, TX · Adviser representative · Firm CRD 23131
- Signator Investors, Inc.– · 18 yearsOklahoma City, OK · Adviser representative · Firm CRD 468
Professional designations
Listed by Adaptation Financial Advisors
- CLU
- ChFC
- AEP
Investment adviser representative registrations
Alan Niemann is registered as an investment adviser representative in 4 states. The first approvals date from August 2020; the most recent is Nebraska, in September 2020.
- NebraskaSince 4 September 2020
- OhioSince 31 August 2020
- OklahomaSince 31 August 2020
- TexasSince 31 August 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 51 | Municipal Fund Securities Principal Examination | 26 March 2003 |
| Series 65 | Uniform Investment Adviser Law Examination | 18 October 1999 |
| Series 24 | General Securities Principal Examination | 29 March 1996 |
| Series 7 | General Securities Representative Examination | 9 February 1993 |
| Series 22 | Direct Participation Programs Representative Examination | 4 October 1984 |
| Series 63 | Uniform Securities Agent State Law Examination | 7 August 1984 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 22 May 1984 |
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Fund Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Direct Participation Programs Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Alan Philip Niemann
- CRD
- 1244350
- Firm
- Adaptation Financial Advisors · CRD 309192
- Role
- CEO, Chief Compliance Officer
- Office
- 700 CEDAR LAKE BLVD, Oklahoma City, OK 73114
- Registration
- Investment adviser and broker registrations
- In the industry since
- May 1984
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- adaptfa.com
Where does Alan Niemann work?
Alan Niemann has been CEO, Chief Compliance Officer of Adaptation Financial Advisors Inc. since March 2021, and is a control person of the firm.
Is Alan Niemann a financial advisor?
Yes. Alan Niemann has a current investment-adviser registration in Nebraska, Ohio, Oklahoma and Texas, through Adaptation Financial Advisors since August 2020.
How many years of experience does Alan Niemann have?
Alan Niemann has 42 years in the financial industry, since May 1984, across 4 adviser firms.
What exams has Alan Niemann passed?
Alan Niemann has passed 7 licensing exams: the Series 6, Series 63, Series 22, Series 7, Series 24, Series 65 and Series 51. The earliest, the Series 6, was passed in May 1984. FINRA credited Alan Niemann with the SIE, which began in October 2018.
Where did Alan Niemann work before Adaptation Financial Advisors?
Before Adaptation Financial Advisors, Alan Niemann was registered through Signator Investors, Inc., January 2000 to November 2018.
Where is Alan Niemann based?
Alan Niemann’s registered office is in Oklahoma City, OK.
Is Alan Niemann registered with FINRA?
Yes. Alan Niemann has a current broker registration, under CRD 1244350.
Source: FINRA BrokerCheck
How can I verify Alan Niemann’s record?
Search CRD 1244350 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Alan Niemann’s full registration record.