Vincent Buttaro

COMPASS RETIREMENT GROUP

Topeka, KS

CRD#: 6156731

Some features on this profile are disabled

Professional summary

Vincent Buttaro II, who also goes by VIncent Buttaro, is a registered financial advisor currently at COMPASS RETIREMENT GROUP LLC located in Topeka, Kansas.

Vincent is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Vincent has worked at 9 firms and has passed the Series 66, SIE, Series 7, Series 9, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Vincent Buttaro

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 Vincent Buttaro II'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

May 22, 2026 - Present

COMPASS RETIREMENT GROUP LLC

RIA

CRD#: 282420

Topeka, KS

Past

November 18, 2024 - May 27, 2026

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

TOPEKA, KS

Past

November 15, 2024 - May 27, 2026

CETERA WEALTH SERVICES, LLC

CRD#: 13572

TOPEKA, KS

Past

November 15, 2024 - May 27, 2026

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

Topeka, KS

Past

November 15, 2024 - May 27, 2026

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

TOPEKA, KS

Past

November 15, 2024 - May 27, 2026

CETERA ADVISORS LLC

CRD#: 10299

TOPEKA, KS

Past

November 8, 2022 - November 18, 2024

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

Topeka, KS

Past

November 7, 2022 - November 18, 2024

AE FINANCIAL SERVICES, LLC

CRD#: 298608

Topeka, KS

Past

April 7, 2014 - November 2, 2022

EDWARD JONES

RIA

CRD#: 250

TEMPE, AZ

Past

January 1, 2014 - November 2, 2022

EDWARD JONES

CRD#: 250

TEMPE, AZ

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".

COMPASS RETIREMENT GROUP LLC

COMPASS RETIREMENT GROUP LLC | COMPASS RETIREMENT SOLUTIONS, LLC

CRD#: 282420 / SEC#: 801-124696

RIA

Registered Investment Advisory firm - (4/21/2022 Approved)

Georgia

Registered Investment Advisory firm - (5/24/2022 Terminated)

Illinois

Registered Investment Advisory firm - (5/4/2022 Terminated)

Texas

Registered Investment Advisory firm - (5/4/2022 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.

Highlighted states indicate IAR registrations

IAR

Kansas
(5/22/2026)

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

State Security Law Exam

IAR

Series 66

Date: 4/4/2014

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: 12/27/2013

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 10/6/2016

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 9/26/2016

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 9/8/2016

General Securities Principal Examination

Current Firm

COMPASS RETIREMENT GROUP LLC

COMPASS RETIREMENT GROUP LLC | COMPASS RETIREMENT SOLUTIONS, LLC

CRD#: 282420 / SEC#: 801-124696

RIA

Registered Investment Advisory firm - (4/21/2022 Approved)

Georgia

Registered Investment Advisory firm - (5/24/2022 Terminated)

Illinois

Registered Investment Advisory firm - (5/4/2022 Terminated)

Texas

Registered Investment Advisory firm - (5/4/2022 Terminated)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

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

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

Contact information

Main Address

10326 Old Olive Street Road, St. Louis, MO 63141

Mailing Address

Phone number

(314) 373-1598

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2A BROCHURE (2/23/2026)

WRAP BROCHURE (2/23/2026)

Regulatory assets under management

Total Number of Accounts	939
AUM (Assets Under Management)	$ 111,859,803

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

Guy Peel

OSAIC WEALTH, INC.

IAR

Helena, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

Estero, FL

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Vincent Buttaro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vincent Buttaro II's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

CETERA INVESTMENT SERVICES LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

AE WEALTH MANAGEMENT, LLC

AE FINANCIAL SERVICES, LLC

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

COMPASS RETIREMENT GROUP LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/4/2014

SIE

Date: 10/1/2018

Series 7

Date: 12/27/2013

Series 9

Date: 10/6/2016

Series 10

Date: 9/26/2016

Series 24

Date: 9/8/2016

Current Firm

COMPASS RETIREMENT GROUP LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COMPASS RETIREMENT GROUP LLC

TRUST BUT VERIFY

Similar Advisors