Andrew J. Thomas
Professional summary
Andrew J Thomas, who also goes by Andrew James Thomas, is a registered financial advisor currently at THE RETIREMENT PLANNING GROUP, LLC located in Leawood, Kansas.
Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Andrew has worked at 5 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Andrew J Thomas's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 21, 2024 - Present
THE RETIREMENT PLANNING GROUP, LLC
Office #1: 11460 Tomahawk Creek Pkwy Suite 400, Leawood, KS 66211May 19, 2023 - May 28, 2024
MORGAN STANLEY
January 20, 2023 - May 28, 2024
MORGAN STANLEY
October 3, 2015 - November 16, 2022
BLOOOM, INC.
June 29, 2015 - September 28, 2015
CREATIVE PLANNING
March 7, 2013 - July 9, 2015
SMART401K, LLC
Primary Firm SEC Registration
THE RETIREMENT PLANNING GROUP, LLC
CRD#: 129625 / SEC#: 801-62655
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(5/21/2024)
(5/22/2024)
Exams
Series 7TO
Date: 5/19/2023
General Securities Representative ExaminationCurrent Firm
THE RETIREMENT PLANNING GROUP, LLC
CRD#: 129625 / SEC#: 801-62655
Contact information
SEC notice filing (33 States and Territories)
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 | ||
| 11/27/2023 | ||
| 01/27/2023 |
Red Flags
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