Aaron A. Pottichen

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CRD#: 4890583

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Aaron Allan Pottichen, who also goes by Aaron A Pottichen, Aaron Pottichen, was a registered financial professional .

Aaron is a previously registered financial professional and started their career in finance in 2005. Aaron had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Aaron A Pottichen | Aaron Pottichen

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.

C.L. SCOTT CORPORATE INSURANCE SERVICES d/b/a CLS PARTNERS ADDRESS: 3600 N. CAPITAL OF TX HWY BLDG. B, SUITE 200, AUSTIN, TX & 16000 North Dallas Parkway, Suite 325, Dallas, TX 75248 POSITION/TITLE: RETIREMENT CONSULTANT/LICENSED INSURANCE AGENT INVESTMENT RELATED:YES START DATE: 12/01/2014 DESCRIPTION OF DUTIES: RETIREMENT CONSULTANT VIA REGISTRATION THROUGH RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. EMPLOYEE RETIREMENT SERVICES AND PERSONAL WEALTH MANAGEMENT. HE WILL ALSO BE BE PROVIDING INSURANCE AND BROKERAGE SERVICES.15-30 HOURS WEEKLY, 15-30 HOURS DURING TRADING. CLS INSURANCE SERVICES HOLDINGS, LLC D/B/A CLS PARTNERS - AUSTIN, TX & Dallas, TX. 12/2014 TO PRESENT. Position: Business Development Representative. MY ROLE IN THIS BUSINESS WILL BE TO REFER OPPORTUNITIES TO THE SALES PEOPLE IN THIS BUSINESS. HOURS PER MONTH DEVOTED TO THIS BUSINESS: 8 HOURS PER MONTH DEVOTED TO THIS BUSINESS DURING TRADING HOURS: 6 HANVERY FINANCIAL; AUSTIN, TX; SUPPORT COMPANY/DBA (NON-OWNER); ADVISOR; NOR INVESTMENT RELATED; 01/2014-PRESENT; O HOURS PER MONTH, 0 HOURS DURING TRADING. Name of Business : CLS Partners Address: 3600 N. Capital of TX Hwy Bldg. B, Suite 200,Austin, TX Nature of the Business: Non-variable Insurance Position/Title: Employee Investment Related:Yes Start Date: 12/01/2014 Hours per month devoted to this business: 8 Hours per month devoted to this business during trading hours: 6 Description of duties: CLS Partners sells medical benefits and risk management insurance. My role in this business will be to refer opportunities to the sales people in this business. I will not be involved in the direct sell or communicating topics about medical risk insurance

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 29, 2018 - May 30, 2023

ALLIANT RETIREMENT CONSULTING

RIA

CRD#: 167970

Austin, TX

Past

May 26, 2015 - July 9, 2018

CLS PARTNERS RETIREMENT SERVICES

RIA

CRD#: 181518

AUSTIN, TX

Past

January 9, 2014 - November 1, 2016

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

AUSTIN, TX

Past

January 7, 2014 - November 1, 2016

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

AUSTIN, TX

Past

August 17, 2012 - January 8, 2014

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

AUSTIN, TX

Past

August 17, 2012 - January 8, 2014

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

AUSTIN, TX

Past

July 29, 2008 - August 21, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

AUSTIN, TX

Past

July 29, 2008 - August 21, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

AUSTIN, TX

Past

August 21, 2007 - June 12, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

AUSTIN, TX

Past

July 27, 2007 - June 12, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

AUSTIN, TX

Past

February 14, 2005 - June 7, 2007

WORLD GROUP SECURITIES, INC.

CRD#: 114473

DULUTH, GA

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".

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)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 8/20/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/2/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/1/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/29/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/26/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/11/2005

Investment Company Products/Variable Contracts Representative Examination

Current Firm

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)

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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

SEC notice filing (51 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

2025 ANNUAL FILING (3/31/2025)

Regulatory assets under management

Total Number of Accounts	156
AUM (Assets Under Management)	$ 4,493,036,646

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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Firm Stability Insights

Aaron A. Pottichen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CLS PARTNERS RETIREMENT SERVICES

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

WORLD GROUP SECURITIES, INC.

Primary Firm SEC Registration

ALLIANT RETIREMENT CONSULTING

State Registrations and Notice Filings

Exams

Series 65

Date: 8/20/2007

Series 63

Date: 7/2/2005

SIE

Date: 11/1/2016

Series 31

Date: 8/29/2007

Series 7

Date: 7/26/2007

Series 6

Date: 2/11/2005

Current Firm

ALLIANT RETIREMENT CONSULTING

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLIANT RETIREMENT CONSULTING

TRUST BUT VERIFY

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