Disclosures · Regulatory

Disclosures and regulatory information.

Required disclosures, registration details, and links to the documents you should review before working with any financial professional.

1. FINRA BrokerCheck

FINRA BrokerCheck is a free public tool that lets you research the professional background of investment professionals, brokerage firms, and investment adviser firms.

You should review CRD #4213860 on BrokerCheck for current registrations, qualifications, employment history, and any disclosure events.

2. Firm and affiliations

Alan J. Birsinger is associated with Wealth Management Group, Inc. (WMG), an independently owned financial services firm based in Houston, Texas.

  • Securities offered through a registered broker-dealer, member FINRA & SIPC. See FINRA BrokerCheck for current firm affiliations.
  • Advisory services offered through a Registered Investment Adviser. See SEC IAPD for current registrations.
  • Wealth Management Group, Inc. · wmginc.co

3. Form CRS — Client Relationship Summary

Form CRS is a short summary required by the SEC that explains the services, fees, conflicts, standards of conduct, and disciplinary history of the firm offering you services.

  • Broker-dealer Form CRS · contact us for the current PDF.
  • Investment-adviser Form CRS · contact us for the current PDF.

Please read Form CRS before opening an account or engaging advisory services.

4. ADV Part 2 Brochure

The ADV Part 2 brochure provides plain-English information about the investment adviser's business practices, fee schedule, conflicts of interest, and personnel.

  • ADV Part 2A (Firm Brochure) · search the firm on SEC IAPD.
  • ADV Part 2B (Brochure Supplement) · contact us for the current PDF.
  • SEC IAPD search · adviserinfo.sec.gov

5. States of registration

The financial professional associated with this site may only discuss and/or transact securities or advisory business with residents of the states in which he is currently registered or qualified to do so.

  • Texas (TX) — primary state of residence and business
  • Additional states · see FINRA BrokerCheck for the current list.

If you reside outside the listed states, please contact us before requesting securities or advisory services so we can determine whether registration permits engagement.

6. Conflicts of interest summary

Like any financial professional, Alan has potential conflicts of interest that you should understand. The following list is a summary; full disclosures are contained in Form CRS, the ADV Part 2 brochure, and product-specific documentation.

  • Compensation models. Compensation may include asset-based advisory fees, commissions on the sale of securities or insurance products, trail compensation on certain products, or some combination. Different compensation models can create incentives that differ from one another.
  • Insurance products. When recommending fixed or variable annuities, life insurance, or long-term care insurance, Alan or affiliated persons may receive commissions from the issuing carrier. Carrier selection is not exhaustive.
  • Rollover decisions. A recommendation to roll over a 401(k) or other employer plan into an IRA may result in additional compensation. We are obligated to act in your best interest and will document the rationale for the recommendation in writing where required.
  • Outside business activities. Any outside business activities are disclosed on BrokerCheck and reviewed by the firm's compliance department.

For a complete description, please review Form CRS and the ADV Part 2 brochure linked above.

7. Privacy notice (Regulation S-P)

Wealth Management Group, Inc. and the broker-dealer and registered investment adviser through which Alan provides services maintain a privacy policy consistent with Regulation S-P. See the full Privacy Policy.

8. Business continuity summary

The broker-dealer maintains a written Business Continuity Plan addressing significant business disruptions. In the event of a disruption affecting our office, clients can reach the broker-dealer directly to access account information and place trades.

  • BD Business Continuity Plan summary · contact us for the current document.
  • Alternate contact during a disruption · (281) 786-5159 (forwarded as needed).

9. General information

This site is for informational purposes only and does not constitute tax or legal advice. The information provided is general in nature, may not apply to your specific situation, and should not be relied upon for the purpose of avoiding any federal tax penalties. Consult a qualified professional regarding your specific situation.

Nothing on this site is a solicitation or offer to buy or sell securities in any jurisdiction in which Alan is not registered or qualified to do so. Past performance is not indicative of future results. Investing involves risk, including possible loss of principal.

Hyperlinks to third-party websites are provided as a convenience. We do not control and are not responsible for the content of any linked third-party site.

10. Compliance contact

To submit a complaint, ask a regulatory question, or verify any information on this page, please contact the broker-dealer's compliance department.

  • Compliance department · contact us at (281) 786-5159 to be routed to the appropriate compliance officer.
  • Alan J. Birsinger · (281) 786-5159 · alan.birsinger@wealthmanagementgroup-inc.com