Kimberly L. Oros

WEALTHSPIRE RETIREMENT ADVISORY

Appleton, WI 54912

Some features on this profile are disabled

CRD#: 2708286

Professional summary

Kimberly Lynn Oros, AIF®, who also goes by Kimberly Lynn Cunnane, is a registered financial advisor currently at WEALTHSPIRE RETIREMENT ADVISORY located in Appleton, Wisconsin.

Kimberly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Kimberly has worked at 9 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kimberly Lynn Cunnane

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 Kimberly Lynn Oros'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

December 18, 2024 - Present

WEALTHSPIRE RETIREMENT ADVISORY

Office #1: P.o. Box 7797, Appleton, WI 54912

RIA

CRD#: 121254

Appleton, WI

Past

March 10, 2022 - November 13, 2024

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

GROSS POINTE, MI

Past

March 10, 2022 - November 13, 2024

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

April 29, 2019 - February 11, 2022

CBIZ FINANCIAL SOLUTIONS, INC.

CRD#: 16678

CLEVELAND, OH

Past

December 19, 2018 - February 11, 2022

CBIZ INVESTMENT ADVISORY SERVICES, LLC

RIA

CRD#: 286002

St Clair Shores, MI

Past

August 9, 2017 - December 31, 2018

SEQUOIA FINANCIAL GROUP, L.L.C.

RIA

CRD#: 117756

St. Clair Shores, MI

Past

February 12, 2015 - May 5, 2017

M HOLDINGS SECURITIES, INC.

RIA

CRD#: 43285

DETROIT, MI

Past

February 4, 2015 - May 5, 2017

M HOLDINGS SECURITIES, INC.

CRD#: 43285

DETROIT, MI

Past

May 26, 2010 - February 4, 2015

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

SOUTHFIELD, MI

Past

March 30, 2006 - February 4, 2015

PRINCIPAL SECURITIES, INC.

CRD#: 1137

SOUTHFIELD, MI

Past

June 10, 2005 - March 20, 2006

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

November 18, 2004 - February 22, 2005

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

May 8, 1998 - December 31, 2002

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

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".

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254 / SEC#: 801-66107

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 Terminated)

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).

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

Michigan
(12/18/2024)

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: 10/30/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/12/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/25/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/5/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/28/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/12/2007

General Securities Principal Examination

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254 / SEC#: 801-66107

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 Terminated)

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

120 Vantis Suite 400, Aliso Viejo, CA 92656

Mailing Address

Phone number

(949) 460-9898

Established

Firm type

Fiscal year end

# of Employees

240

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NFP RETIREMENT (11/20/2025)

Regulatory assets under management

Total Number of Accounts	9,394
AUM (Assets Under Management)	$ 118,031,461,765

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

Ewa Ulanowska

SECURITIES AMERICA, INC.

Tamara Rose

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BOSTON, MA

Jamie Powell

CAPITAL ADVISORY SERVICES, LLC

IAR

West Chester, OH

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kimberly L. Oros

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kimberly Lynn Oros's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPOWER ADVISORY GROUP, LLC

EMPOWER FINANCIAL SERVICES, INC.

CBIZ FINANCIAL SOLUTIONS, INC.

CBIZ INVESTMENT ADVISORY SERVICES, LLC

SEQUOIA FINANCIAL GROUP, L.L.C.

M HOLDINGS SECURITIES, INC.

M HOLDINGS SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

EMPOWER FINANCIAL SERVICES, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

WEALTHSPIRE RETIREMENT ADVISORY

State Registrations and Notice Filings

Exams

Series 65

Date: 10/30/2017

Series 66

Date: 4/12/2010

Series 63

Date: 8/25/1998

SIE

Date: 5/5/2017

Series 7

Date: 4/28/1998

Series 24

Date: 2/12/2007

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHSPIRE RETIREMENT ADVISORY

TRUST BUT VERIFY

Similar Advisors