Carolyn A. Vertovec

THE RETIREMENT PLANNING GROUP

LEAWOOD, KS 66211

Some features on this profile are disabled

CRD#: 5081034

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.

05/2024 - RIVTOP ENTERPRISES / Other - Business Owner / Co-Owner / Non Inv. Related / Kansas City, MO / Start date 06/01/2012 - 1 Hrs per month - 0 % Time Spent

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

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.

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.

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

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.

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

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".

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)

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

State Security Law Exam

IAR

Series 66

Date: 10/23/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/25/2006

General Securities Representative Examination

Current Firm

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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 (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THE RETIREMENT PLANNING GROUP ADV PART 2A OCTOBER 2025 (10/24/2025)

Regulatory assets under management

Total Number of Accounts	12,295
AUM (Assets Under Management)	$ 4,008,879,250

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/08/2024	Cover Page	Report
11/27/2023	Cover Page	Report
01/27/2023	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.

Similar Advisors

Paris Camara

GOLDMAN SACHS & CO. LLC

New York, NY

Annabelle Lee

HORACE MANN INVESTORS, INC.

Austin, TX

Justin Brillhart

COMMONWEALTH FINANCIAL NETWORK

IAR

Hanover, PA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Carolyn A. Vertovec

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carolyn Ann Vertovec's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

FISHER INVESTMENTS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

VSR FINANCIAL SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

THE RETIREMENT PLANNING GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/23/2006

SIE

Date: 10/1/2018

Series 7

Date: 9/25/2006

Current Firm

THE RETIREMENT PLANNING GROUP, LLC

Contact information

SEC notice filing (33 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

THE RETIREMENT PLANNING GROUP, LLC

TRUST BUT VERIFY

Similar Advisors