Kelsi A. Mcglothin

Some features on this profile are disabled

CRD#: 7186101

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.

Kelsi Anne Mcglothin was a registered financial professional .

Kelsi is a previously registered financial professional and started their career in finance in 2022. Kelsi had worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

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.

Outside Employment; Self - Music Lessons; Private Lesson Instruction; Monterey Park, CA 81755; Not Investment Related; July 2022; 0-9 hours per month; 0 during trading hours.

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 7, 2023 - August 22, 2025

AURORA WEALTH ADVISORS

RIA

CRD#: 322947

SAN DIEGO, CA

Past

October 7, 2022 - January 12, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

PASADENA, CA

Past

July 4, 2022 - January 12, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

PASADENA, CA

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".

AURORA WEALTH ADVISORS

AURORA WEALTH ADVISORS | SANDENA, INC.

CRD#: 322947 / SEC#: 801-127171

RIA

Registered Investment Advisory firm - (4/26/2023 Approved)

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 66

Date: 9/2/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/2/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/2/2022

Securities Industry Essentials Examination

Current Firm

AURORA WEALTH ADVISORS

AURORA WEALTH ADVISORS | SANDENA, INC.

CRD#: 322947 / SEC#: 801-127171

RIA

Registered Investment Advisory firm - (4/26/2023 Approved)

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

9915 Mira Mesa Boulevard Suite 240, San Diego, CA 92131

Mailing Address

Phone number

(858) 326-0046

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE - AURORA WEALTH ADVISORS (6/10/2025)

Regulatory assets under management

Total Number of Accounts	675
AUM (Assets Under Management)	$ 133,902,811

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kelsi A. Mcglothin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AURORA WEALTH ADVISORS

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

AURORA WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 9/2/2022

Series 7TO

Date: 7/2/2022

SIE

Date: 7/2/2022

Current Firm

AURORA WEALTH ADVISORS

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AURORA WEALTH ADVISORS

TRUST BUT VERIFY

Similar Advisors