Kenneth H. Aulbach

ICON ADVISERS

Mountain Lakes, NJ

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CRD#: 1844566

Professional summary

Kenneth Harold Aulbach is a registered financial advisor currently at ICON ADVISERS, INC. located in Mountain Lakes, New Jersey and RFS PARTNERS located in Greenwood Village, Colorado.

Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Kenneth has worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

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.

Ken Aulbach is an employee of ICON Advisers, INC., a registered Investment adviser located at 8480 Orchard Road E, Suite 1200 Greenwood Village, CO 80111 .

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Harold Aulbach's CRS (Customer Relationship Summary).

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 1, 2025 - Present

ICON ADVISERS, INC.

RIA

CRD#: 108268

Mountain Lakes, NJ

Current

January 28, 2025 - Present

RFS PARTNERS

Office #1: 8480 Orchard Road E Suite 1200, Greenwood Village, CO 80111

CRD#: 18119

Greenwood Village, CO

Past

November 17, 2017 - December 22, 2023

AMERICAN PORTFOLIOS ADVISORS, INC

RIA

CRD#: 112697

HOLBROOK, NY

Past

November 16, 2017 - December 22, 2023

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

HOLBROOK, NY

Past

May 27, 2014 - February 5, 2016

AMERICAN PORTFOLIOS ADVISORS, INC

RIA

CRD#: 112697

HOLBROOK, NY

Past

April 4, 2014 - February 5, 2016

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

HOLBROOK, NY

Past

March 1, 2012 - August 2, 2012

INNOVATION PARTNERS LLC

RIA

CRD#: 146344

NEEDHAM, MA

Past

February 29, 2012 - August 2, 2012

INNOVATION PARTNERS LLC

CRD#: 146344

NEEDHAM, MA

Past

May 4, 2006 - March 2, 2011

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

LYNNFIELD, MA

Past

May 20, 2005 - March 2, 2011

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

December 10, 2002 - October 15, 2004

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

FRANKLIN, TN

Past

January 8, 2002 - September 6, 2002

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

Past

March 13, 2001 - December 31, 2001

OLD SLIP CAPITAL MANAGEMENT, INC.

CRD#: 7360

NEW YORK, NY

Past

July 6, 2000 - November 15, 2000

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

NEWPORT BEACH, CA

Past

April 13, 2000 - July 12, 2000

AUGUSTAR DISTRIBUTORS, INC.

CRD#: 41081

CINCINNATI, OH

Past

August 27, 1998 - October 21, 1998

KEYPORT FINANCIAL SERVICES CORP.

CRD#: 8127

WELLESLEY HILLS, MA

Past

June 23, 1997 - December 8, 1998

NATIONWIDE SECURITIES, LLC

CRD#: 11173

COLUMBUS, OH

Past

January 17, 1989 - March 5, 1997

KEYPORT FINANCIAL SERVICES CORP.

CRD#: 8127

WELLESLEY HILLS, MA

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".

ICON ADVISERS, INC.

ICON ADVISERS, INC. | MERIDIAN INVESTMENT MANAGEMENT CORPORATION | MERIDIAN INVESTMENT MANAGEMENT CORP

CRD#: 108268 / SEC#: 801-38868

RIA

Registered Investment Advisory firm - (5/17/1991 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Colorado
(1/28/2025)

IAR

Colorado
(7/1/2025)

Connecticut
(1/28/2025)

Delaware
(1/28/2025)

District of Columbia
(1/28/2025)

Maine
(1/28/2025)

Maryland
(1/28/2025)

Massachusetts
(1/28/2025)

New Hampshire
(1/28/2025)

New Jersey
(1/28/2025)

New York
(1/28/2025)

Pennsylvania
(1/28/2025)

Rhode Island
(1/28/2025)

Vermont
(1/28/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/1/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/5/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/16/1989

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ICON ADVISERS, INC.

ICON ADVISERS, INC. | MERIDIAN INVESTMENT MANAGEMENT CORPORATION | MERIDIAN INVESTMENT MANAGEMENT CORP

CRD#: 108268 / SEC#: 801-38868

RIA

Registered Investment Advisory firm - (5/17/1991 Approved)

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Contact information

Main Address

8480 E Orchard Road Suite 1200, Greenwood Village, CO 80111

Mailing Address

Phone number

(303) 790-1600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (27 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ICON ADVISERS, INC. FORM ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	341
AUM (Assets Under Management)	$ 793,555,660

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.

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Advisor Monitoring

Firm Stability Insights

Kenneth H. Aulbach

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Harold Aulbach's CRS (Customer Relationship Summary).

Certified licenses

Experience

RFS PARTNERS

AMERICAN PORTFOLIOS ADVISORS, INC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

AMERICAN PORTFOLIOS ADVISORS, INC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

INNOVATION PARTNERS LLC

INNOVATION PARTNERS LLC

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

OLD SLIP CAPITAL MANAGEMENT, INC.

PACIFIC SELECT DISTRIBUTORS, LLC

AUGUSTAR DISTRIBUTORS, INC.

KEYPORT FINANCIAL SERVICES CORP.

NATIONWIDE SECURITIES, LLC

KEYPORT FINANCIAL SERVICES CORP.

Primary Firm SEC Registration

ICON ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/1/2006

Series 63

Date: 3/5/2002

SIE

Date: 10/1/2018

Series 6

Date: 1/16/1989

FINRA

Current Firm

ICON ADVISERS, INC.

Contact information

SEC notice filing (27 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ICON ADVISERS, INC.

TRUST BUT VERIFY

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