Peyton R. Hawkes

THE RETIREMENT PLANNING GROUP

BINGHAMTON, NY

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CRD#: 1230783

Professional summary

Peyton Russell Hawkes is a registered financial advisor currently at THE RETIREMENT PLANNING GROUP, LLC located in Binghamton, New York.

Peyton is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Peyton has worked at 9 firms and has passed the Series 65, Series 63 and Series 7 exams.

Biography

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As a family-owned firm, our allegiance lies strictly with the client-families we serve.

Question & Answer

What are your service offerings?

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Our specialties include compre...

Do you have an area of expertise or specialization?

College/Education Planning

Insurance Related Issues

Investment Advice with Ongoing...

Medical Professionals

Middle Income Client Needs

Socially Responsible Investmen...

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.

Hawkes Wealth Management- president; investment related- approved DBA for Investment Advisory business; SEC registered IAR

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peyton Russell Hawkes'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®

None

Experience

Current

December 18, 2024 - Present

THE RETIREMENT PLANNING GROUP, LLC

RIA

CRD#: 129625

BINGHAMTON, NY

Past

November 17, 2022 - January 8, 2025

COMPOUND PLANNING, INC.

RIA

CRD#: 171787

Binghamton, NY

Past

August 30, 2021 - March 21, 2023

HAWKES WEALTH MANAGEMENT INC.

RIA

CRD#: 288925

BINGHAMTON, NY

Past

July 30, 1996 - December 31, 1998

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

May 7, 1993 - August 7, 1996

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

May 14, 1991 - May 3, 1993

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

February 14, 1991 - January 6, 1992

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

February 14, 1991 - January 6, 1992

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

October 2, 1989 - February 25, 1991

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

November 4, 1988 - October 2, 1989

CADARET, GRANT & CO., INC.

CRD#: 16404

Past

April 29, 1987 - November 28, 1988

FSC SECURITIES CORPORATION

CRD#: 7461

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".

THE RETIREMENT PLANNING GROUP, LLC

THE RETIREMENT PLANNING GROUP, INC. | THE RETIREMENT PLANNING GROUP, LLC

CRD#: 129625 / SEC#: 801-62655

RIA

Registered Investment Advisory firm - (1/16/2004 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

New York
(12/19/2024)

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: 5/24/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/1/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/25/1987

General Securities Representative Examination

Current Firm

THE RETIREMENT PLANNING GROUP, LLC

THE RETIREMENT PLANNING GROUP, INC. | THE RETIREMENT PLANNING GROUP, LLC

CRD#: 129625 / SEC#: 801-62655

RIA

Registered Investment Advisory firm - (1/16/2004 Approved)

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Contact information

Main Address

11460 Tomahawk Creek Pkwy Suite 400, Leawood, KS 66211

Mailing Address

Phone number

(913) 498-8898

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THE RETIREMENT PLANNING GROUP ADV PART 2A OCTOBER 2025 (10/24/2025)

Regulatory assets under management

Total Number of Accounts	12,295
AUM (Assets Under Management)	$ 4,008,879,250

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/08/2024	Cover Page	Report
11/27/2023	Cover Page	Report
01/27/2023	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

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Peyton R. Hawkes

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peyton Russell Hawkes's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMPOUND PLANNING, INC.

HAWKES WEALTH MANAGEMENT INC.

CADARET, GRANT & CO., INC.

LPL FINANCIAL LLC

CADARET, GRANT & CO., INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

FSC SECURITIES CORPORATION

Primary Firm SEC Registration

THE RETIREMENT PLANNING GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/24/2017

Series 63

Date: 7/1/1987

Series 7

Date: 4/25/1987

Current Firm

THE RETIREMENT PLANNING GROUP, LLC

Contact information

SEC notice filing (33 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

THE RETIREMENT PLANNING GROUP, LLC

TRUST BUT VERIFY

Contact information

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