KM
Kathleen Monahan
ALLIANT RETIREMENT CONSULTING
New York City, NY 10178
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CRD#: 5283423
KM
Professional summary
Kathleen Monahan is a registered financial advisor currently at ALLIANT RETIREMENT CONSULTING located in New York City, New York and OSAIC WEALTH, INC. located in New York, New York.
Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Kathleen has worked at 4 firms and has passed the Series 65, 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. ADMIN SUPPORT FOR JOHN CUNNINGHAM, FOR 45HRS/WK & 10HRS EVENING & WKENDS, SINCE 1/2009; 2. THESCO RETIREMENT PLANNING SERVICES, LLC, MANAGE THE ADMINISTRATORS, FOR 25HRS/WK & 10 HRS EVENING & WKENDS, SINCE 1/2009; 3. ALLIANT INSURANCE SERVICES, INC., INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, TPA COMPLIANCE - PREPARE DEFINED CONTRIBUTION PLAN DOCUMENTS, SERVICE CLIENTS TO ENSURE COMPLIANCE, START 06/2001, ~80HRS/WK (32.5 TRADING HOURS), VICE-PRESIDENT - MANAGE TPA & SERVICE GROUP, SERVICE BOOK OF BUSINESS; 4. NAME OF OTHER BUSINESS: ALLIANT RETIREMENT CONSULTING INVESTMENT RELATED: YES ADDRESS: 320 WEST 57TH ST. NEW YORK, NY 10019 NATURE OF BUSINESS: DBA FOR RETIREMENT PLANS START DATE: 7/2017 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 POSITION/TITLE/RELATIONSHIP: ACCOUNT EXECUTIVE BRIEF DESCRIPTION OF DUTIES: DBA; 5. NAME OF OTHER BUSINESS: ALLIANT RETIREMENT CONSULTING - CRD# 167970; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ADVISORY SERVICES; POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE; START DATE: 5/2023; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: ASSET MANAGEMENT;
CRS (Client Relationship Summary) - RIA
Click below to view Kathleen Monahan'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
May 18, 2023 - Present
ALLIANT RETIREMENT CONSULTING
Office #1: 101 Park Avenue 12th Floor, New York City, NY, 10178RIA
CRD#: 167970
New York City, NY
Current
July 1, 2025 - Present
OSAIC WEALTH, INC.
Office #1: 101 Park Avenue 12th Floor, New York, NY 10178RIA
BD
CRD#: 23131
New York, NY
Past
September 3, 2013 - July 2, 2025
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
NEW YORK, NY
Past
July 9, 2012 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
NEW YORK, NY
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Ohio(5/18/2023)
RR
Ohio(7/3/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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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