SW
Sean P. Waggoner
ALLIANT RETIREMENT CONSULTING
ALPHARETTA, GA 30009
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CRD#: 2748574
SW
Professional summary
Sean Paul Waggoner is a registered financial advisor currently at ALLIANT RETIREMENT CONSULTING located in Alpharetta, Georgia.
Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Sean has worked at 7 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.
1.ALLIANT RETIREMENT SERVICES, LLC DBA 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. TITLE: INVESTMENT ADVISORY REPRESENTATIVE START: 05/2017 APX # OF HRS/WK: 40 APX # OF HRS DUR TRD HRS: 32.5 DUTIES: INVESTMENT ADVISORY REPRESENTATIVE 2. FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE APX # OF HRS/WK: VARIES APX # OF HRS DUR TRD HRS: VARIES TITLE: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS INSURANCE: LIFE, HEALTH, DISABILITY, AND LONG-TERM CARE 3. ALLIANT INSURANCE SERVICES, INC. DBA ALLIANT EMPLOYEE BENEFITS ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: INSURANCE ; START: 11/2001 ; TITLE: SENIOR VICE PRESIDENT, <1% OWNER APX # OF HRS/WK: 35 ; APX # OF HRS DUR TRD HRS: 32.5 ; DUTIES: SELLS INSURANCE: WHOLE LIFE, UNIVERSAL LIFE, VARIABLE LIFE, LONG-TERM CARE, DISABILITY AND HEALTH ; 4. 3GWLC LLC ; INVESTMENT RELATED: NO ; ADDRESS: KCXO AIRPORT, 10260 CARL PICKERING MEMORIAL, CONROE TX 77303 NATURE OF BUSINESS: AIRPLANE OWNERSHIP GROUP ; START: 2/2021 ; TITLE: CO-OWNER / MEMBER; APX APX # OF HRS/WK: VARIES ; APX # OF HRS DUR TRD HRS: VARIES; DUTIES: AIRCRAFT TO PROVIDE TRANSPORTATION, LEASE OR CHARTER OF PLANE FOR COMPENSATION; 5. WAGNEW, LLC INVESTMENT RELATED: NO, ADDRESS: 3355 W ALABAMA ST #44, HOUSTON, TX, 77090 NATURE OF BUSINESS: ASSET PROTECTION START: 2/2021, TITLE: OWNER, LESS THAN ONE HOUR WEEK, NOT DURING TRADING HOURS, DUTIES: ASSET PROTECTION FOR PLANE, LEASE OR CHARTER OF PLANE FOR COMPENSATION; 6. WAGNEW 1917 VALENTINO COVE, LLC; INVESTMENT RELATED: NO; ADDRESS: 3355 W. ALABAMA, SUITE 444, HOUSTON, TX 77098; NATURE OF BUSINESS: BOARD; START: 8/2024; TITLE: VICE PRESIDENT/SECRETARY; APX # OF HRS/WK: LESS THAN 1; APX # OF HRS DUR TRD HRS: 0; DUTIES: ASSIST WITH THE MANAGEMENT OF THE PROPERTY OWNED BY THE LLC; 7. CHAPELWOOD UNITED METHODIST CHURCH; INVESTMENT RELATED: NO; ADDRESS: 11140 GREENBAY ST HOUSTON, TX 77024; NATURE OF BUSINESS: NON PROFIT; START DATE: 03/2025; POSITION/TITLE/RELATIONSHIP: STAFF PARISH RELATION COMMITTEE; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ADVISORY ROLE WITH SENIOR PASTOR TO PROVIDE ADVICE ON HR RELATED MATTERS; 8. NEXUS ENERGY 10, LLC INVESTMENT RELATED: NO; ADDRESS: 109 East 17th Street Suite 520, Cheyenne, WY 82001 NATURE OF BUSINESS: Member START: 5/2025; TITLE: MEMBER APX # OF HRS/WK: LESS THAN 1; APX # OF HRS DUR TRD HRS: 0; DUTIES: VOTING MEMBER. (MEMBERS DO NOT HAVE ANY INDIVIDUAL DUTIES)
CRS (Client Relationship Summary) - RIA
Click below to view Sean Paul Waggoner'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
July 11, 2013 - Present
ALLIANT RETIREMENT CONSULTING
Office #1: 1125 Sanctuary Parkway Suite 300, Alpharetta, GA 30009RIA
CRD#: 167970
ALPHARETTA, GA
Past
June 8, 2017 - May 12, 2025
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
HOUSTON, TX
Past
June 4, 2010 - July 10, 2013
JAMES E.BASHAW & CO.
RIA
CRD#: 129320
HOUSTON, TX
Past
December 16, 2009 - October 6, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
HOUSTON, TX
Past
December 16, 2009 - June 30, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
HOUSTON, TX
Past
January 18, 2008 - December 17, 2009
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
HOUSTON, TX
Past
February 12, 2002 - December 17, 2009
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
HOUSTON, TX
Past
January 3, 1997 - November 28, 2001
ONE ORCHARD EQUITIES, INC.
BD
CRD#: 42124
GREENWOOD VILLAGE, CO
Past
May 23, 1996 - January 3, 1997
THE GREAT-WEST LIFE ASSURANCE COMPANY
BD
CRD#: 5927
ENGLEWOOD, CO
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
Arizona(4/24/2017)
IAR
California(12/17/2015)
IAR
Colorado(12/18/2015)
IAR
Louisiana(12/17/2015)
IAR
Minnesota(4/27/2017)
IAR
Texas(7/11/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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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