Kenneth S. Mergen

RETIREMENT PLAN ADVISORS

Chicago, IL 60602-3205

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CRD#: 2609056

Professional summary

Kenneth Scott Mergen, who also goes by Kenneth S Mergen, is a registered financial advisor currently at RETIREMENT PLAN ADVISORS, LLC located in Chicago, Illinois and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Doylestown, Pennsylvania.

Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Kenneth has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kenneth S Mergen

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Scott Mergen'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

February 13, 2014 - Present

RETIREMENT PLAN ADVISORS, LLC

Office #1: 29 E. Madison St. Suite 500, Chicago, IL 60602-3205

RIA

CRD#: 122758

Chicago, IL

Current

February 6, 2014 - Present

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

DOYLESTOWN, PA

Past

January 4, 2011 - January 8, 2014

STANCORP INVESTMENT ADVISERS, INC.

RIA

CRD#: 110228

WAYNE, PA

Past

April 6, 2010 - January 8, 2014

STANCORP EQUITIES, INC.

CRD#: 19517

WAYNE, PA

Past

January 1, 2009 - August 20, 2009

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

CRD#: 37819

MARLTON, NJ

Past

June 9, 1999 - January 1, 2009

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

MARLTON, NJ

Past

February 12, 1996 - May 3, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

May 17, 1995 - February 12, 1996

K & Y SECURITIES CORPORATION

CRD#: 28706

LOS ANGELES, 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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Pennsylvania
(2/6/2014)

IAR

Pennsylvania
(2/13/2014)

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

State Security Law Exam

IAR

Series 66

Date: 12/30/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/15/1995

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: 5/16/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/18/2003

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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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

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RETIREMENT PLAN ADVISORS, LLC CLIENT BROCHURE (3/28/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Kenneth S. Mergen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Scott Mergen's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

STANCORP INVESTMENT ADVISERS, INC.

STANCORP EQUITIES, INC.

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

HIMCO DISTRIBUTION SERVICES COMPANY

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

K & Y SECURITIES CORPORATION

Primary Firm SEC Registration

RETIREMENT PLAN ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/30/2010

Series 63

Date: 6/15/1995

SIE

Date: 10/1/2018

Series 7

Date: 5/16/1995

Series 26

Date: 12/18/2003

FINRA

Current Firm

RETIREMENT PLAN ADVISORS, LLC

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RETIREMENT PLAN ADVISORS, LLC

TRUST BUT VERIFY

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