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KA

Kathleen R. Aicher

ALLIANT RETIREMENT CONSULTING
Los Angeles, CA 90071
Some features on this profile are disabled
CRD#: 1573336
KA

Professional summary

Kathleen Ruth Aicher is a registered financial advisor currently at ALLIANT RETIREMENT CONSULTING located in Los Angeles, California.

Kathleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Kathleen has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.NAME OF OTHER BUSINESS: ALLIANT RETIREMENT CONSULTING INVESTMENT RELATED: YES ADDRESS: 1125 SANCTUARY PARKWAY SUITE 300 ALPHARETTA GA NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE START DATE: 07/2022 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 37.5 BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVISORY SERVICES 2. NAME OF OTHER BUSINESS: ALLIANT INSURANCE SERVICES, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 07/2023 POSITION/TITLE/RELATIONSHIP: VP, RETIREMENT CONSULTANT APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: SERVICE MANAGER

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Ruth Aicher's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 26, 2022 - Present

ALLIANT RETIREMENT CONSULTING

Office #1: 333 S. Hope St. Suite 3750, Los Angeles, CA 90071
RIA
CRD#: 167970
Los Angeles, CA
Past

November 6, 2023 - July 1, 2025

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
LOS ANGELES, CA
Past

December 19, 2021 - June 30, 2022

CREATIVE PLANNING

RIA
CRD#: 105348
Los Angeles, CA
Past

July 11, 2017 - December 31, 2021

LOCKTON INVESTMENT ADVISORS, LLC

RIA
CRD#: 144133
Los Angeles, CA
Past

July 10, 2017 - December 13, 2021

LOCKTON INVESTMENT SECURITIES, LLC

BD
CRD#: 137476
LOS ANGELES, CA
Past

March 9, 2015 - June 19, 2017

M HOLDINGS SECURITIES, INC.

RIA
CRD#: 43285
TORRANCE, CA
Past

January 14, 2013 - June 19, 2017

M HOLDINGS SECURITIES, INC.

BD
CRD#: 43285
TORRANCE, CA
Past

October 18, 2004 - October 1, 2012

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
PASADENA, CA
Past

April 19, 2004 - September 24, 2004

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
HARRISON, NY
Past

June 13, 2001 - May 13, 2002

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA
Past

May 18, 2000 - February 22, 2001

TRANSAMERICA FINANCIAL ADVISORS, INC.

BD
CRD#: 3600
LOS ANGELES, CA
Past

July 30, 1998 - May 18, 2000

TRANSAMERICA SECURITIES SALES CORPORATION

BD
CRD#: 17970
LOS ANGELES, CA
Past

October 23, 1996 - December 18, 1997

ARROYO SECO, INC.

BD
CRD#: 39387
PASADENA, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AR
ALLIANT RETIREMENT CONSULTING
ALLIANT INSURANCE SERVICES, LLC | ALLIANT RETIREMENT SERVICES, LLC | ALLIANT RETIREMENT SERVICES | ALLIANT RETIREMENT CONSULTING

CRD#: 167970 / SEC#: 801-78240

RIA
Registered Investment Advisory firm - (7/9/2013 Approved)
Alaska
Registered Investment Advisory firm - (2/20/2015 Terminated)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(7/26/2022)
IAR
Texas
(7/26/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/9/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/16/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/5/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/5/1996
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AR
ALLIANT RETIREMENT CONSULTING
ALLIANT INSURANCE SERVICES, LLC | ALLIANT RETIREMENT SERVICES, LLC | ALLIANT RETIREMENT SERVICES | ALLIANT RETIREMENT CONSULTING

CRD#: 167970 / SEC#: 801-78240

RIA
Registered Investment Advisory firm - (7/9/2013 Approved)
Alaska
Registered Investment Advisory firm - (2/20/2015 Terminated)
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Contact information

Main Address
1125 Sanctuary Parkway Suite 300, Alpharetta, GA 30009
Mailing Address
Phone number
(713) 470-4208
Established
Firm type
Fiscal year end
# of Employees
30

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

2025 ANNUAL FILING (3/31/2025)

Regulatory assets under management

Total Number of Accounts156
AUM (Assets Under Management)$ 4,493,036,646

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ALLIANT RETIREMENT CONSULTING

CRD#: 167970Los Angeles, CA 90071

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