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Alan Baca

Investment Adviser Representative at ETHOS FINANCIAL GROUP, LLC

San Diego, CACRD #6111890Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
13 yrs
States Registered
1 states
Exams Passed
6

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Alan Baca has worked in the securities industry since 2013. They are registered to provide investment advisory services in California.

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
California
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 9/5/2012
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 12/31/2014
Series 7
General Securities Representative Examination
Passed 1/17/2013
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 10/1/2020
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 9/13/2019

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $100,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Ethos Financial Group, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

ETHOS FINANCIAL GROUP, LLCCurrent
11/6/2023San Diego, CA
ALLIANCEBERNSTEIN L.P.
1/18/20135/3/2023San Diego, CA

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Alan Baca has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Alan Baca - Financial Advisor in San Diego, CA | AdvisorFinder