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CV

Carolyn A. Vertovec

THE RETIREMENT PLANNING GROUP
LEAWOOD, KS 66211
Some features on this profile are disabled
CRD#: 5081034
CV

Professional summary

Carolyn Ann Vertovec, CFP®, who also goes by Carolyn A Vertovec, Carolyn Ann Vertovec, Carolyn Vertovec, is a registered financial advisor currently at THE RETIREMENT PLANNING GROUP, LLC located in Leawood, Kansas.

Carolyn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Carolyn has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Carolyn A Vertovec | Carolyn Ann Vertovec | Carolyn Vertovec

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 Carolyn Ann Vertovec'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®
CFP®

Certified Financial Planner

Start date: 2015

Experience

Current

March 31, 2025 - Present

THE RETIREMENT PLANNING GROUP, LLC

Office #1: 11460 Tomahawk Creek Pkwy Suite 400, Leawood, KS 66211
RIA
CRD#: 129625
LEAWOOD, KS
Past

July 2, 2024 - October 14, 2024

LPL FINANCIAL LLC

RIA
CRD#: 6413
KANSAS CITY, MO
Past

July 2, 2024 - October 14, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

November 17, 2021 - April 16, 2024

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
Fort Myers, FL
Past

November 17, 2021 - April 16, 2024

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Fort Myers, FL
Past

July 23, 2020 - November 11, 2021

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
Overland Park, KS
Past

July 21, 2020 - November 11, 2021

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
Overland Park, KS
Past

September 20, 2019 - May 15, 2020

FISHER INVESTMENTS

RIA
CRD#: 107342
KANSAS CITY, MO
Past

November 26, 2010 - September 13, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
KANSAS CITY, MO
Past

November 23, 2010 - September 13, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
KANSAS CITY, MO
Past

September 23, 2009 - September 30, 2010

VSR FINANCIAL SERVICES, INC.

RIA
CRD#: 14503
LEAWOOD, KS
Past

September 21, 2009 - September 30, 2010

VSR FINANCIAL SERVICES, INC.

BD
CRD#: 14503
LEAWOOD, KS
Past

October 24, 2006 - June 23, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
WASHINGTON, DC
Past

September 26, 2006 - June 23, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
WASHINGTON, DC

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".
TR
THE RETIREMENT PLANNING GROUP, LLC
THE RETIREMENT PLANNING GROUP, INC. | THE RETIREMENT PLANNING GROUP, LLC

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.

Highlighted states indicate IAR registrations

IAR
Kansas
(3/31/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/23/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/25/2006
General Securities Representative Examination

Current Firm

TR
THE RETIREMENT PLANNING GROUP, LLC
THE RETIREMENT PLANNING GROUP, INC. | THE RETIREMENT PLANNING GROUP, LLC

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
58

SEC notice filing (35 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

THE RETIREMENT PLANNING GROUP ADV PART 2A FEBRUARY 2026 (2/12/2026)

Regulatory assets under management

Total Number of Accounts13,910
AUM (Assets Under Management)$ 4,451,007,696

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E 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.

Company Information

THE RETIREMENT PLANNING GROUP, LLC

CRD#: 129625Leawood, KS 66211

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