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Financial ADVSR advisor directory · SEC adviser records

Financial advisors in Pleasanton, CA

Every SEC-registered investment adviser representative at a firm office in Pleasanton, with the firms that employ the most of them.

239 registered advisors work in Pleasanton; the most are at Morgan Stanley (47). 34 list the CFP designation and 194 are also registered broker representatives.

Firms with the most advisors in Pleasanton

FirmAdvisors in Pleasanton
Morgan Stanley news47
Transamerica Financial Advisors, LLC25
Merrill Lynch, Pierce, Fenner & Smith Incorporated news20
Charles Schwab & Co., Inc. news16
MML Investors Services, LLC15
Wells Fargo Clearing Services, LLC news14
Mariner news7
Mirador Capital Partners7
Ameriprise Financial Services, LLC news6
Grant Private Wealth Management6
Kaizen Financial Strategies, LLC5
U.S. Bancorp Advisors, LLC5
J.P. Morgan Securities LLC news4
Strategic Advisers LLC4
Cambridge Investment Research Advisors, Inc. news3
Edward Jones news3
LPL Financial LLC news3
Sierra Pacific Private Wealth, LLC3
Thrivent Investment Management Inc.3
Commonwealth Financial Network news2
Equitable Advisors, LLC news2
Independent Financial Group, LLC2
Legacy Wealth Management, LLC2
Osaic Wealth, Inc. news2
Rpg Investment Advisory, LLC2

Advisors in Pleasanton, A to Z

CFP advisors in Pleasanton →

Other cities in California

All of California →

San Diego 3,490San Francisco 3,219Los Angeles 3,218Newport Beach 1,783Irvine 1,659Pasadena 1,109Walnut Creek 1,049San Jose 897Beverly Hills 656Roseville 611Westlake Village 597Sacramento 588Palo Alto 500Torrance 471La Jolla 463Carlsbad 429Menlo Park 428Santa Barbara 422El Segundo 421Fresno 413San Rafael 394San Mateo 354Woodland Hills 343Long Beach 335

Questions

How many financial advisors are in Pleasanton, CA?

239 investment adviser representatives are registered at firm offices in Pleasanton, California, according to the SEC's Investment Adviser Public Disclosure records. 194 of them are also registered as broker representatives, and 34 list the CFP designation.

Which firm has the most financial advisors in Pleasanton?

Morgan Stanley, with 47 registered advisors in Pleasanton, followed by Transamerica Financial Advisors, LLC with 25.

How do I check a financial advisor in Pleasanton?

Each advisor below links to a profile with their firm, registrations, exams and how long they've been registered, plus links to the SEC's adviser search and FINRA BrokerCheck, where any disclosures are listed in full.

Source: the SEC's Investment Adviser Public Disclosure daily file. Advisors are listed at the city of the firm office they're registered at; an advisor registered at offices in more than one city appears in each. Broker-only representatives (FINRA BrokerCheck) aren't included. Moving firms? See who's moving this week, compare payouts by firm or value a recruiting offer.