Kathy L. Lum

THE RETIREMENT PLANNING GROUP

HONOLULU, HI 96816

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CRD#: 1886703

Professional summary

Kathy Lynn Lum, AIF®, who also goes by Kathy Lynn Kinney, Kathy Lum, is a registered financial advisor currently at THE RETIREMENT PLANNING GROUP, LLC located in Honolulu, Hawaii.

Kathy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Kathy has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kathy Lynn Kinney | Kathy Lum

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.

INSURANCE SERVICES ARE OFFERED UNDER LEE FINANCIAL GROUP HAWAII, INC. TRUSTEE OF A PERSONAL TRUST; INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathy Lynn Lum'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

May 28, 2024 - Present

THE RETIREMENT PLANNING GROUP, LLC

Office #1: 3465 Waialae Avenue, Suite 370, Honolulu, HI 96816

RIA

CRD#: 129625

HONOLULU, HI

Past

February 28, 2005 - May 29, 2024

LEE FINANCIAL GROUP HAWAII, INC.

RIA

CRD#: 104781

HONOLULU, HI

Past

February 28, 2005 - December 7, 2023

LEE FINANCIAL SECURITIES, INC.

CRD#: 23134

HONOLULU, HI

Past

December 1, 1999 - January 6, 2005

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

HONOLULU, HI

Past

October 8, 1999 - January 6, 2005

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

February 8, 1989 - July 20, 1999

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

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

Hawaii
(5/28/2024)

IAR

Kansas
(5/28/2024)

IAR

Texas
(5/28/2024)

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: 3/30/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/8/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/21/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 1/14/1995

General Securities Sales Supervisor Examination (Options Module & General Module)

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

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Kathy L. Lum

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathy Lynn Lum's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEE FINANCIAL GROUP HAWAII, INC.

LEE FINANCIAL SECURITIES, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

THE RETIREMENT PLANNING GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/30/2005

Series 63

Date: 2/8/1989

SIE

Date: 10/1/2018

Series 7

Date: 1/21/1989

Series 8

Date: 1/14/1995

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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