Maria Kutscher
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CRD#: 1844674
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Maria Kutscher, CFP®, CPWA®, who also goes by Maria Aranda, was a registered financial professional .
Maria is a previously registered financial professional and started their career in finance in 1989. Maria had worked at 9 firms and has passed the Series 63, Series 3, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
What are your service offerings?
Life Transitions
Retirement Income Management
Comprehensive Financial Planni...
Business Succession Planning
Estate Planning
Divorce Planning
Socially Responsible Investing
Employee and Employer Plan Ben...
Small Business Planning
Retirement Planning
Tax Planning
Investment Planning
What is your minimum asset requirement?
1M
Are you a "fiduciary"?
No
Aliases
Maria Aranda
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) KB Event Management, LLC / United States / 4040 MacArthur Blvd., Ste. 200, Newport Beach, CA 92660 / Partnership / Holding Company - Event Management for OC Marathon / I am the beneficiary of my husband's ownership in this business if he passes/ I have no duties in this business. / Investment in Company?: YES, 50% / Start Date 1/11/2011 /// 2) Wooden's Wisdom / 20701 Beach Blvd SPC 123 Huntington Beach CA92648 / The company exists to educate the public on the life lessons and wisdom from legendary basketball Coach John Wooden. / Volunteer point person for Team Culture - provide feedback on content and help keep John Wooden's Playbook for Life and Leadership alive. / 6/1/2021 // 3) NAME OF ENTITY: OC Marathon, LLC ADDRESS: 3100 Airway Ave, Costa Mesa, CA 92626 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Running Festival and Marathon. CAPACITY: Owner - Passive START DATE: 05/28/2010 DUTIES: This is my husband's investment. As such, I have a beneficial ownership interest.. HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (4) NAME OF ENTITY: Exit Planning Institute - San Diego Chapter ADDRESS: INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: The Exit Planning Institute (EPI) is an education company that certifies and supports CEPA's. CAPACITY: Committee/Council Member (not associated with the Board of Directors) START DATE: 01/15/24 DUTIES: Be an advocate of business owner exit planning in the San Diego community. HOURS DEVOTED PER MONTH: 1 hour HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1993
CPWA®
Start date: 2021-12-28
Expire date: 2023-11-30
Education
Business Administration / International Marketing
Finance
Experience
Past
June 15, 2023 - February 20, 2024
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
BEVERLY HILLS, CA
Past
June 15, 2023 - February 20, 2024
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
BEVERLY HILLS, CA
Past
January 21, 2022 - August 22, 2023
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
NEWPORT BEACH, CA
Past
September 27, 2019 - August 22, 2023
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NEWPORT BEACH, CA
Past
November 28, 2016 - June 14, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEWPORT BEACH, CA
Past
November 25, 2016 - June 14, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEWPORT BEACH, CA
Past
May 29, 2015 - November 7, 2016
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
NEW YORK, NY
Past
October 2, 2013 - May 1, 2015
ALLOVEST ADVISORY SERVICES, LLC
RIA
CRD#: 167412
HUNTINGTON BEACH, CA
Past
February 7, 2008 - August 28, 2013
AMERICAN CENTURY INVESTMENT SERVICES INC.
BD
CRD#: 17437
EL SEGUNDO, CA
Past
August 22, 2006 - January 31, 2008
NATIXIS DISTRIBUTION, LLC
BD
CRD#: 34754
BOSTON, MA
Past
July 31, 2002 - July 10, 2006
AIM PRIVATE ASSET MANAGEMENT
RIA
CRD#: 109264
HOUSTON, TX
Past
June 2, 2000 - July 10, 2006
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
HOUSTON, TX
Past
February 15, 1989 - May 26, 2000
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 7/29/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,476
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
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.
