Nicolas G. Dumas

RETIREMENT PLANNING GROUP

Malta, NY 12020

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CRD#: 6804595

Professional summary

Nicolas George Dumas, who also goes by Nico Dumas, is a registered financial advisor currently at RETIREMENT PLANNING GROUP, LLC located in Malta, New York and PURSHE KAPLAN STERLING INVESTMENTS located in Malta, New York.

Nicolas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Nicolas has worked at 6 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nico Dumas

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.

1. Nicholas Dumas is dually-registered as an Investment Advisor Representative with Retirement Planning Group, LLC. (since 06/2021) and as a Registered Representative with Purshe Kaplan Sterling Investments, Inc. (PKS" - since 01/2021). Business is conducted from 2691 State Route 9, Malta, NY, 12205. Approximately 90% of Nicolas' time is for services as an investment advisor representative and the balance as a registered representative and are not affiliated. 2. Insurance Sales; same address; Non-investment related; Approximately 10% of time during the month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicolas George Dumas'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

July 26, 2021 - Present

RETIREMENT PLANNING GROUP, LLC

Office #1: 2691 State Route 9, Malta, NY 12020

RIA

CRD#: 310647

Malta, NY

Current

January 12, 2021 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 2691 State Route 9 Suite 201, Malta, NY 12020

CRD#: 35747

Malta, NY

Past

November 18, 2020 - January 5, 2021

ARBOR POINT ADVISORS

RIA

CRD#: 165127

MALTA, NY

Past

September 18, 2020 - January 5, 2021

SECURITIES AMERICA, INC.

CRD#: 10205

Malta, NY

Past

January 2, 2019 - September 18, 2020

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

Malta, NY

Past

June 28, 2018 - December 31, 2018

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

SARATOGA SPRINGS, NY

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".

RETIREMENT PLANNING GROUP, LLC

CRD#: 310647 / SEC#: 801-119537

RIA

Registered Investment Advisory firm - (9/28/2020 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(1/12/2021)

IAR

New York
(7/26/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/28/2018

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/28/2018

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

RETIREMENT PLANNING GROUP, LLC

CRD#: 310647 / SEC#: 801-119537

RIA

Registered Investment Advisory firm - (9/28/2020 Approved)

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Contact information

Main Address

2691 State Route 9, Malta, NY 12020

Mailing Address

Phone number

(518) 580-1919

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RETIREMENT PLANNING GROUP DISCLOSURE BROCHURE (4/10/2025)

Regulatory assets under management

Total Number of Accounts	1,430
AUM (Assets Under Management)	$ 282,828,000

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.

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Firm Stability Insights

Nicolas G. Dumas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicolas George Dumas's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

ARBOR POINT ADVISORS

SECURITIES AMERICA, INC.

SECURITIES SERVICE NETWORK, LLC

AMERITAS INVESTMENT COMPANY, LLC

Primary Firm SEC Registration

RETIREMENT PLANNING GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/28/2018

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/28/2018

FINRA

Current Firm

RETIREMENT PLANNING GROUP, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RETIREMENT PLANNING GROUP, LLC

TRUST BUT VERIFY

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