Michael J. Gasperi

CETERA PLANNING PARTNERS

Des Moines, IA 50309

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CRD#: 2565935

Professional summary

Michael John Gasperi is a registered financial advisor currently at CETERA PLANNING PARTNERS located in Des Moines, Iowa and CETERA WEALTH SERVICES, LLC located in Des Moines, Iowa.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Michael has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.

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.

HONKAMP KRUEGER FINANCIAL SERVICES POSITION: SENIOR FINANCIAL ADVISOR NATURE: FINANCIAL SERVICES, Address: 6200 Aurora Avenue, #600W, Urbandale, IA 50322, INVESTMENT RELATED: YES HOURS: 160 INVESTMENT RELATED HOURS: 130 START DATE: 06/21/1999 ADDRESS: 2355 JFK ROAD, DUBUQUE IA 52002 DESCRIPTION: WHOLESALER TO CPA REPS. HONKAMP KRUEGER FINANCIAL SERVICES POSITION: Financial Planning Consultant/Non-Equity Partner NATURE: Financial Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 06/21/1999 ADDRESS: 3990 Asbury Road, Dubuque IA 52002, United States DESCRIPTION: Wholesaler to CPA reps.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Gasperi'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

September 29, 2026 - Present

CETERA PLANNING PARTNERS

Office #1: 100 Court Avenue Suite 209, Des Moines, IA 50309

RIA

CRD#: 129625

Des Moines, IA

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 100 Court Avenue Suite 209, Des Moines, IA 50309

CRD#: 13572

Des Moines, IA

Past

September 30, 2020 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Des Moines, IA

Past

February 8, 2001 - September 30, 2020

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

URBANDALE, IA

Past

June 23, 1999 - September 29, 2026

AVANTAX PLANNING PARTNERS, INC.

RIA

CRD#: 106237

Des Moines, IA

Past

January 30, 1995 - January 8, 1997

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

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".

CETERA PLANNING PARTNERS

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

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.

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

Iowa
(9/5/2025)

IAR

Iowa
(9/29/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

What does exam status mean?

State Security Law Exam

Series 63

Status Unavailable

Passed: 2/26/2001

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Status Unavailable

Passed: 3/3/1995

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 4/29/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Status Unavailable

Passed: 2/7/2001

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA PLANNING PARTNERS

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

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 (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CETERA PLANNING PARTNERS ADV PART 2A SEPT 2026 (9/22/2026)

Regulatory assets under management

Total Number of Accounts	14,107
AUM (Assets Under Management)	$ 4,164,758,846

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/19/2026	Cover Page	Report
11/24/2025	Cover Page	Report
08/08/2024	Cover Page	Report
11/27/2023	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

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Michael J. Gasperi

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Gasperi's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX INVESTMENT SERVICES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

AVANTAX PLANNING PARTNERS, INC.

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

CETERA PLANNING PARTNERS

State Registrations and Notice Filings

Exams

Series 63

Passed: 2/26/2001

Series 65

Passed: 3/3/1995

SIE

Passed: 10/1/2018

Series 7

Passed: 4/29/2009

Series 6

Passed: 2/7/2001

FINRA

Current Firm

CETERA PLANNING PARTNERS

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA PLANNING PARTNERS

TRUST BUT VERIFY

Contact information

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