MA
Michael D. Allen
RETIREMENT PLAN ADVISORS
Lee's Summit, MO 64082
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CRD#: 2232396
MA
Professional summary
Michael Dean Allen is a registered financial advisor currently at RETIREMENT PLAN ADVISORS, LLC located in Lee's Summit, Missouri and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Lee's Summit, Missouri.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Michael has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 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) RETIREMENT PLAN ADVISORS, INC LLC, 105 WEST ADAMS, STE 2175, CHICAGO, IL, ADVISOR REP OF AN RIA, 01/2020, INV REL, 160 HR/MO, 28 HR/MO TRADING. 2) MICHAEL D ALLEN, 500 SW MARKET ST, STE E, LEESS SUMMIT, MO, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 01/02/20, INV REL, 20 HR/MO, 4 HR/MO TRADING. 3) LSR7 EDUCATIONAL FOUNDATION, 301 NE TUDOR ROAD, LEES SUMMIT, MO, VOLUNTEER MEMBER, 08/01/02, NIR, 1 HR/MO, 0 HR/MO TRADING. 4) LEES SUMMIT MO CHAMBER OF COMMERCE, 200 SE MAIN ST, LEES SUMMIT, MO, 04/24/23, COMMITTEE MEMBER, NIR, 4 HR/MO, 2 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Dean Allen'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
January 13, 2020 - Present
RETIREMENT PLAN ADVISORS, LLC
Office #1: 4120 Sw Leeward Dr., Lee's Summit, MO 64082RIA
CRD#: 122758
Lee's Summit, MO
Current
January 2, 2020 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 500 Sw Market St. Suite E, Lee's Summit, MO 64063BD
CRD#: 39543
Lee's Summit, MO
Past
November 2, 2018 - December 21, 2019
OSAIC WEALTH, INC.
RIA
CRD#: 23131
LEES SUMMIT, MO
Past
November 2, 2018 - December 21, 2019
OSAIC WEALTH, INC.
BD
CRD#: 23131
LEES SUMMIT, MO
Past
July 10, 2013 - November 2, 2018
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
LEES SUMMIT, MO
Past
May 3, 2013 - November 2, 2018
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
LEES SUMMIT, MO
Past
February 17, 2006 - May 7, 2013
NEW ENGLAND SECURITIES
RIA
CRD#: 615
OVERLAND PARK, KS
Past
August 26, 2002 - May 7, 2013
NEW ENGLAND SECURITIES
BD
CRD#: 615
OVERLAND PARK, KS
Past
April 3, 2000 - August 27, 2002
SUNSET FINANCIAL SERVICES, INC.
BD
CRD#: 3538
KANSAS CITY, MO
Past
May 6, 1992 - March 31, 2000
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
COLUMBUS, OH
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".
RP
RETIREMENT PLAN ADVISORS, LLC
RETIREMENT PLAN ADVISORS, LLC
CRD#: 122758 / SEC#: 801-63261
RIA
Registered Investment Advisory firm - (7/14/2004 Approved)Arizona
Registered Investment Advisory firm - (8/2/2004 Terminated)Colorado
Registered Investment Advisory firm - (10/13/2006 Terminated)Iowa
Registered Investment Advisory firm - (8/2/2004 Terminated)Louisiana
Registered Investment Advisory firm - (2/11/2005 Terminated)Missouri
Registered Investment Advisory firm - (8/2/2004 Terminated)Nevada
Registered Investment Advisory firm - (8/2/2004 Terminated)Texas
Registered Investment Advisory firm - (7/28/2004 Terminated)Wisconsin
Registered Investment Advisory firm - (2/11/2003 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
RR
Arizona(7/11/2023)
RR
Florida(2/9/2021)
RR
Iowa(1/2/2020)
RR
Kansas(1/2/2020)
RR
Missouri(1/2/2020)
IAR
Missouri(1/13/2020)
RR
Texas(1/2/2020)
IAR
Texas(1/17/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RP
RETIREMENT PLAN ADVISORS, LLC
RETIREMENT PLAN ADVISORS, LLC
CRD#: 122758 / SEC#: 801-63261
RIA
Registered Investment Advisory firm - (7/14/2004 Approved)Arizona
Registered Investment Advisory firm - (8/2/2004 Terminated)Colorado
Registered Investment Advisory firm - (10/13/2006 Terminated)Iowa
Registered Investment Advisory firm - (8/2/2004 Terminated)Louisiana
Registered Investment Advisory firm - (2/11/2005 Terminated)Missouri
Registered Investment Advisory firm - (8/2/2004 Terminated)Nevada
Registered Investment Advisory firm - (8/2/2004 Terminated)Texas
Registered Investment Advisory firm - (7/28/2004 Terminated)Wisconsin
Registered Investment Advisory firm - (2/11/2003 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
29 E. Madison St. Suite 500, Chicago, IL 60602-3205
Mailing Address
Phone number
(312) 701-1100
Established
Firm type
Fiscal year end
# of Employees
44
SEC notice filing (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,148 |
| AUM (Assets Under Management) | $ 1,882,191,054 |
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.
