ALPHA PLANNING AND FINANCIAL SERVICES, INC. of SOLON, OH is an SEC-registered investment adviser (CRD 130842). Regulatory assets under management: $112.8M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| Aaron Royce Simpson | PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2015-03-15 | civil | ALPHA PLANNING WAS CALLED IN AS A FACT WITNESS FOR THE DEFENSE, JOAN JAVORSKY. THEN LATER, WAS BROUGHT IN TO THE SUIT AS A DEFENDANT WHEN MRS. JAVORSKY WAS FOUND TO HAVE A THIRD BENEFICIARY CHANGE. | Final | $165K |