AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
WG

William C. Guge

THE RETIREMENT PLANNING GROUP
GREENSBORO, NC 27410
Some features on this profile are disabled
CRD#: 6735353
WG

Professional summary

William Casen Guge, who also goes by William Casen Guge, William Guge, is a registered financial advisor currently at THE RETIREMENT PLANNING GROUP, LLC located in Greensboro, North Carolina.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. William has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

William Casen Guge | William Guge

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.
Outside Employment; Bailey & Smith; AFA for Franchise Advisor ; Manage advisory business; 401 North Edgeworth St., Suite A, Greensboro, NC, 27401; Investment-Related; 09/06/2023; 0 hours per month; 0 during trading hours. Other Business Activities; FPA; Volunteered to provide pro-bono financial planning through the Financial Planning Association. ; 3313 Old Chapel Hill Rd, , Durham, NC, 27707; Not Investment-Related; 10/30/2024; 1 to 9 hours per month; 0 during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Casen Guge'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

September 22, 2025 - Present

THE RETIREMENT PLANNING GROUP, LLC

Office #1: 2010-d New Garden Road, Greensboro, NC 27410
RIA
CRD#: 129625
GREENSBORO, NC
Past

September 6, 2023 - August 27, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
GREENSBORO, NC
Past

September 6, 2023 - August 27, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
GREENSBORO, NC
Past

April 25, 2022 - September 5, 2023

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Cary, NC
Past

April 25, 2022 - September 5, 2023

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Cary, NC
Past

March 31, 2020 - March 28, 2022

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
DURHAM, NC
Past

March 11, 2020 - March 24, 2022

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
DURHAM, NC
Past

March 1, 2017 - February 29, 2020

TD AMERITRADE, INC.

RIA
CRD#: 7870
CARY, NC
Past

March 1, 2017 - February 29, 2020

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
Cary, NC
Past

January 24, 2017 - February 29, 2020

TD AMERITRADE, INC.

BD
CRD#: 7870
CARY, NC

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
North Carolina
(9/22/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/28/2017
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: 1/24/2017
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)
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
58

SEC notice filing (33 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 OCTOBER 2025 (10/24/2025)

Regulatory assets under management

Total Number of Accounts12,295
AUM (Assets Under Management)$ 4,008,879,250

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

THE RETIREMENT PLANNING GROUP, LLC

CRD#: 129625Greensboro, NC 27410

TRUST BUT VERIFY

Monitor William Guge

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Ann Benjamin Zuraw
Ann ZurawAdvisorCheck Check Mark
ZURAW FINANCIAL ADVISORS, LLC
IAR
Greensboro, NC
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.