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Alan Bruce Gubernick

Investment Adviser Representative at PROSPERITY - AN EISNERAMPER COMPANY

PHILADELPHIA, PACRD #3176789Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
27 yrs
States Registered
9 states
Exams Passed
4

Registrations & licenses

Registration type
Dual-registered
Registered in 9 states
CaliforniaDistrict of ColumbiaFloridaGeorgiaMassachusettsNew JerseyNew YorkOhioPennsylvania
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 11/27/2000
Series 63
Uniform Securities Agent State Law Examination
Passed 7/22/1999
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 6/30/1999

Approximate fees

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

Primary fee model
Assets Under Management (AUM)
Source

PROSPERITY - AN EISNERAMPER COMPANY Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

DAI SECURITIES, LLCCurrent
2/16/2023 – PHILADELPHIA, PA
APW CAPITAL, INC.
9/7/2022 – 1/17/2023Philadelphia, PA
CAPITAL ANALYSTS, INCORPORATED
9/7/2000 – 11/8/2007CONSHOHOCKEN, PA
AXA ADVISORS, LLC
7/1/1999 – 4/10/2000NEW YORK, NY
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
7/1/1999 – 1/5/2000NEW YORK, NY
COMMONWEALTH FINANCIAL NETWORK
11/2/2007 – 9/6/2022Phiadelphia, PA

Official records & sources

FINRA BrokerCheck record
Official broker registration & regulatory record
SEC IAPD record
SEC investment adviser registration record

Data as of May 29, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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 Bruce Gubernick 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.