EK
Eric D. Kaufman
ALLIANT RETIREMENT CONSULTING
Los Angeles, CA 90071
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CRD#: 2536051
EK
Professional summary
Eric Douglas Kaufman is a registered financial advisor currently at ALLIANT RETIREMENT CONSULTING located in Los Angeles, California.
Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Eric has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 26, Series 10 and Series 9 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.
1.NAME OF OTHER BUSINESS: FIXED INSURANCE INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 05/1993 APX NUMBER OF HOURS PER WEEK: 1.5 APX NUMBER OF HOURS DURING TRADING HOURS: 1.5 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY AND LONG-TERM CARE 2.NAME OF OTHER BUSINESS: ALLIANT RETIREMENT CONSULTING INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM THAT PROVIDES PORTFOLIO MANAGEMENT, FINANCIAL PLANNING, ESTATE PLANNING, AND ADDITIONAL ADVISORY SERVICES. POSITION/TITLE/RELATIONSHIP: SVP/INVESTMENT ADVISOR REPRESENTATIVE START DATE: 09/2022 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVISORY SERVICES 3. NAME OF OTHER BUSINESS: ALLIANT INSURANCE SERVICES INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE 09/2022 POSITION/TITLE/RELATIONSHIP: SVP APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: BROKER AND CONSULTING ON EMPLOYER SPONSORED BENEFIT PLANS
CRS (Client Relationship Summary) - RIA
Click below to view Eric Douglas Kaufman'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®
NoneExperience
Current
September 22, 2022 - Present
ALLIANT RETIREMENT CONSULTING
Office #1: 333 S. Hope St. Suite 3750, Los Angeles, CA 90071RIA
CRD#: 167970
Los Angeles, CA
Past
August 29, 2023 - July 1, 2025
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
LOS ANGELES, CA
Past
July 1, 2008 - August 17, 2022
LOCKTON INVESTMENT SECURITIES, LLC
BD
CRD#: 137476
LOS ANGELES, CA
Past
July 27, 2007 - August 17, 2022
LOCKTON INVESTMENT ADVISORS, LLC
RIA
CRD#: 144133
Los Angeles, CA
Past
February 28, 2006 - July 2, 2008
OSAIC SERVICES, INC.
BD
CRD#: 133763
LOS ANGELES, CA
Past
January 11, 1995 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
January 11, 1995 - June 8, 2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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(9/22/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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)Upgrade to AdvisorCheck Premium
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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)
Regulatory assets under management
| Total Number of Accounts | 156 |
| AUM (Assets Under Management) | $ 4,493,036,646 |
Red Flags
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