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Wendy Lynn Sims

CETERA PLANNING PARTNERS
PELLA, IA
·CRD# 4579589·27 years experience

Professional Summary

Wendy Lynn Sims, who also goes by Wendy L. Sims, Wendy Lynn Van Roekel, is a registered financial advisor currently at CETERA PLANNING PARTNERS located in Pella, Iowa. Wendy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Wendy has worked at 2 firms.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Wendy L. Sims, Wendy Lynn Van Roekel

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

27 years in the financial services industry

Current & Past Employments

CETERA PLANNING PARTNERS·CRD# 129625
RIA
916 W 16th St, Pella, IA 50219
September 29, 2026 - Present
AVANTAX PLANNING PARTNERS, INC.·CRD# 106237
RIA
Pella, IA
January 1, 1999 - September 29, 2026

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Current Firm

CP
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 - SEC (1/16/2004 Approved)

Contact Information

Main Address

11460 Tomahawk Creek Pkwy Suite 400, Leawood, KS 66211

Phone Number

(913) 498-8898

# of Employees

78

SEC notice filing (51 States and Territories)

Registered to provide investment advisory services in 51 US 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 DateForm ADV-E CoverForm ADV-E Report
08/19/2026Cover PageReport
11/24/2025Cover PageReport
08/08/2024Cover PageReport
11/27/2023Cover PageReport

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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) I am a Shareholder and Accountant with Schuring Uitermarkt Sims McCleish Ver Meer, PC, a regional CPA firm. I am located at 916 W 16th Street, Pella, IA 50219. I have been with the CPA firm since 1982. I work approximately 160 hours a month. I provide services that are typical of public accounting, including tax services, consulting, and account services to a variety of different clients and client types. Most of my work is during securities trading hours. My employment is not securities-related or investment-related.
(2) I am a Shareholder and Advisor with Schuring & Uitermarkt Financial Services, a financial services firm located at 916 W 16th Street, Pella, IA 50219. I have been with the firm since 1999. I work approximately 160 hours a month. I provide wealth management services to a variety of different clients and client types based on their individual financial needs and risk tolerances. Most of my work is during securities trading hours. My employment is investment-related.
(3) I am on the board of directors for and a shareholder of Leighton Investment Company, a bank holding company located at 900 Washington Street, Pella, IA 50219. I devote approximately 5-10 hours a month to this activity, primarily during securities trading hours. I attend quarterly board meetings and provide input to management. My participation is not securities-related or investment-related.
(4) I am on the board of directors for Pella Regional Health Center Foundation, a 501(c)
(3) that supports activities of the health center. I devote no more than 5-10 hours a month to this activity, primarily during non-securities trading hours. I attend quarterly board meetings. My participation is not securities-related or investment-related.
(5) I am a member/owner of S & U Real Estate, a real estate rental company located at 916 W 16th Street, Pella, IA 50219. I devote approximately 5-10 hours a month to this activity, primarily during securities trading hours. I attend quarterly board meetings. My participation is not securities-related or investment-related.
(6) I am a member/owner of Biotech Management, LLC., an Idol biodiesel plant. The company is located at 916 W 16th Street, Pella, IA 50219. I devote no more than 5-10 hours a month to this activity, primarily during securities trading hours. I am the bookkeeper and attend member meetings. My participation is not securities-related or investment-related.
(7) I am a member/owner of Grootveld Family Farm, LLC., a farm land rental entity. The entity is located at 384 223rd Place, Pella, IA 50219. I devote approximately 5-10 hours a month to this activity, primarily during securities trading hours. I am the bookkeeper. My participation is not securities-related or investment-related.

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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".
CP
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 - SEC (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.
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.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

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CRS (Client Relationship Summary) - RIA

Click below to view Wendy Lynn Sims's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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WS
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