Alan R. Kepfer

ASPEN FINANCIAL MANAGEMENT

Cheney, WA

Some features on this profile are disabled

CRD#: 1869887

Professional summary

Alan Robert Kepfer is a registered financial advisor currently at ASPEN FINANCIAL MANAGEMENT, INC. located in Cheney, Washington.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Alan has worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Robert Kepfer'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

April 7, 2003 - Present

ASPEN FINANCIAL MANAGEMENT, INC.

RIA

CRD#: 116149

Cheney, WA

Past

February 22, 2000 - September 30, 2002

MAIN STREET MANAGEMENT COMPANY

CRD#: 547

BOSTON, MA

Past

June 6, 1998 - February 24, 2000

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

November 21, 1997 - December 23, 1997

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

November 21, 1997 - December 23, 1997

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

Florida
(6/20/2012)

IAR

New Mexico
(4/7/2003)

IAR

Texas
(4/22/2005)

IAR

Washington
(6/7/2022)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/21/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/24/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/19/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/3/1999

General Securities Principal Examination

Current Firm

ASPEN FINANCIAL MANAGEMENT, INC.

CRD#: 116149 / SEC#: 801-68988

RIA

Registered Investment Advisory firm - (6/27/2012 Terminated)

Florida

Registered Investment Advisory firm - (6/20/2012 Approved)

Indiana

Registered Investment Advisory firm - (10/1/2013 Terminated)

Kentucky

Registered Investment Advisory firm - (6/26/2018 Terminated)

Nevada

Registered Investment Advisory firm - (12/1/2014 Terminated)

New Mexico

Registered Investment Advisory firm - (5/23/2012 Approved)

Texas

Registered Investment Advisory firm - (5/25/2012 Approved)

Washington

Registered Investment Advisory firm - (6/7/2022 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Cheney, WA

Mailing Address

Phone number

(509) 414-6060

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	98
AUM (Assets Under Management)	$ 19,752,837

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Alan R. Kepfer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Robert Kepfer's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASPEN FINANCIAL MANAGEMENT, INC.

MAIN STREET MANAGEMENT COMPANY

WMA SECURITIES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/21/2000

Series 63

Date: 11/24/1997

Series 7

Date: 11/19/1997

Series 24

Date: 3/3/1999

Current Firm

ASPEN FINANCIAL MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ASPEN FINANCIAL MANAGEMENT, INC.

TRUST BUT VERIFY

Similar Advisors