Clifford T. Kwan

RETIREMENT PLANNERS OF AMERICA

Pasadena, CA 91101

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CRD#: 4482210

Professional summary

Clifford Tungen Kwan, CFP®, who also goes by Cliff Kwan, is a registered financial advisor currently at RETIREMENT PLANNERS OF AMERICA located in Pasadena, California.

Clifford is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Clifford has worked at 3 firms and has passed the Series 65 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cliff Kwan

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.

INDEPENDENT INSURANCE AGENT FOR THE VARIOUS INDEPENDENT INSURANCE COMPANIES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clifford Tungen Kwan'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®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Current

October 8, 2014 - Present

RETIREMENT PLANNERS OF AMERICA

Office #1: 790 East Colorado Boulevard Suite 560, Pasadena, CA 91101Office #2: 18500 Von Karman Ave Suite 520, Irvine, CA 92612

RIA

CRD#: 157222

Pasadena, CA

Past

April 25, 2008 - September 16, 2014

FINANCIAL STRATEGIES FOR TODAY AND TOMORROW--WEALTH MGMT GROUP

RIA

CRD#: 145117

TUSTIN, CA

Past

December 21, 2001 - August 5, 2004

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

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".

RETIREMENT PLANNERS OF AMERICA

MMWKM ADVISORS, LLC | RPOA ADVISORS, INC. | RETIREMENT PLANNERS OF AMERICA | MONEY MATTERS WITH KEN MORAIF

CRD#: 157222 / SEC#: 801-72262

RIA

Registered Investment Advisory firm - (4/4/2011 Approved)

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
(10/8/2014)

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: 10/15/2007

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6

Date: 12/19/2001

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RETIREMENT PLANNERS OF AMERICA

MMWKM ADVISORS, LLC | RPOA ADVISORS, INC. | RETIREMENT PLANNERS OF AMERICA | MONEY MATTERS WITH KEN MORAIF

CRD#: 157222 / SEC#: 801-72262

RIA

Registered Investment Advisory firm - (4/4/2011 Approved)

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Contact information

Main Address

2820 Dallas Parkway, Plano, TX 75093

Mailing Address

Phone number

(469) 246-3600

Established

Firm type

Fiscal year end

# of Employees

126

SEC notice filing (43 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A APPENDIX 1 WRAP FEE PROGRAM BROCHURE (3/28/2025)

ADV PART 2A FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	15,760
AUM (Assets Under Management)	$ 3,975,227,271

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.

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Clifford T. Kwan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clifford Tungen Kwan's CRS (Customer Relationship Summary).

Certified licenses

Experience

RETIREMENT PLANNERS OF AMERICA

FINANCIAL STRATEGIES FOR TODAY AND TOMORROW--WEALTH MGMT GROUP

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

RETIREMENT PLANNERS OF AMERICA

State Registrations and Notice Filings

Exams

Series 65

Date: 10/15/2007

Series 6

Date: 12/19/2001

Current Firm

RETIREMENT PLANNERS OF AMERICA

Contact information

SEC notice filing (43 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RETIREMENT PLANNERS OF AMERICA

TRUST BUT VERIFY

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