Alan Charles Gottlob
Investment Adviser Representative at Ethos Financial Group, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Alan Charles Gottlob is an investment adviser representative with Ethos Financial Group, LLC in King of Prussia, PA, where they have been registered since 2024. They have worked in the securities industry since 1985 and have been registered with 7 firms, including TFS Advisory Services and Merrill Lynch, Pierce, Fenner & Smith Incorporated. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in New Jersey, Pennsylvania, and Texas.
Office
Advisors at this office: 18
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- New Jersey, Pennsylvania, Texas
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- TFS Securities, Inc.Jul 2013 – Sep 2017Lincroft, NJ
- Shingle OAK Advisors, LLCApr 2001 – no end date reportedVoorhees, NJ
- Ethos Financial Group, LLCAug 2024 – no end date reportedKing Of Prussia, PA
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Ethos Financial Group, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Performance-based fees
- Firm account minimum
- $100,000 (waivable)
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Wealth advice and retirement planning, advanced planning, institutional consulting, and family office coordination, with customized investment allocations and holistic financial strategies tailored to each client's needs.
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 33
- Offices listed on AdvisorFinder:
- 6
- Main office:
- King Of Prussia, PA
- SEC file number:
- 801-125779
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of August 12, 2026
View full firm profileOther advisors at Ethos Financial Group, LLC
Showing 12 of 33 in the directory
Similar advisors in King Of Prussia, PA
Other advisors whose filed branch office is in the same city.
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 Charles Gottlob 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.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
Find the right advisor for you
Take the free 3-minute assessment to get matched with advisors who fit your goals.
Get Matched