Michael L. Hawes

RETIREMENT PLAN ADVISORS

JANESVILLE, WI 53548

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CRD#: 3090091

Professional summary

Michael Lloyd Hawes is a registered financial advisor currently at RETIREMENT PLAN ADVISORS, LLC located in Janesville, Wisconsin and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Brown Deer, Wisconsin.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Michael has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 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, LLC, 3618 Ridge Dr., Suite 150, Janesville WI 53548, 07/2025, Investment Advisor Representative, RIA Affiliation - other than CIRA, INV REL, 160 HR/MO, 120 HR/MO TRADING. 2) MICHAEL HAWES, 8417 N. 50th St., Suite 150, Brown Deer WI 53223, 07/2025, Agent, Insurance/Benefits/Human Resources, INV REL, 0 HR/MO, 0 HR/MO TRADING. 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF AN RIA, INV REL, 160 HR/MO, 120 HR/MO TRADING, 07/2025

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Lloyd Hawes'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

July 14, 2025 - Present

RETIREMENT PLAN ADVISORS, LLC

Office #1: 3618 Ridge Drive Suite 150, Janesville, WI 53548

RIA

CRD#: 122758

JANESVILLE, WI

Current

July 11, 2025 - Present

CAMBRIDGE INVESTMENT RESEARCH, INC.

Office #1: 8417 North 50th Street , Brown Deer, WI 53223Office #2: 3618 Ridge Drive Suite #150, Janesville, WI 53548

CRD#: 39543

Brown Deer, WI

Past

September 13, 2011 - July 18, 2025

NATIONWIDE INVESTMENT ADVISORS, LLC

RIA

CRD#: 142373

COLUMBUS, OH

Past

August 19, 2011 - July 18, 2025

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

November 13, 2009 - August 10, 2011

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

MENOMONEE FALLS, WI

Past

November 13, 2009 - August 10, 2011

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

MENOMONEE FALLS, WI

Past

September 25, 2008 - November 13, 2009

NATCITY INVESTMENTS, INC.

RIA

CRD#: 17490

KEWASKUM, WI

Past

September 25, 2008 - November 13, 2009

NATCITY INVESTMENTS, INC.

CRD#: 17490

KEWASKUM, WI

Past

October 8, 2003 - November 22, 2006

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

MILWAUKEE, WI

Past

July 5, 2002 - July 31, 2002

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

MILWAUKEE, WI

Past

July 5, 2002 - November 22, 2006

RBC CAPITAL MARKETS, LLC

CRD#: 31194

MILWAUKEE, WI

Past

November 29, 2000 - July 17, 2002

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

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

Wisconsin
(7/11/2025)

IAR

Wisconsin
(7/14/2025)

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 65

Date: 12/22/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/8/2000

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: 11/28/2000

General Securities Representative 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

Michael L. Hawes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Lloyd Hawes's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

NATIONWIDE INVESTMENT ADVISORS, LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

NATCITY INVESTMENTS, INC.

NATCITY INVESTMENTS, INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

RETIREMENT PLAN ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/22/2000

Series 63

Date: 12/8/2000

SIE

Date: 10/1/2018

Series 7

Date: 11/28/2000

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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