Nicholas R. Kruse

CETERA PLANNING PARTNERS

Dubuque, IA 52002

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CRD#: 6855778

Professional summary

Nicholas R Kruse, CFP® is a registered financial advisor currently at CETERA PLANNING PARTNERS located in Dubuque, Iowa and CETERA WEALTH SERVICES, LLC located in Dubuque, Iowa.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Nicholas has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Aliases

None

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) HONKAMP KRUGER FINANCIAL SERVICES POSITION: Reg. Rep. NATURE: Investments INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 04/20/2018 ADDRESS: 3390 Asbury Road, Dubuque IA 52002, United States DESCRIPTION: Registered rep.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas R Kruse'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

Experience

Current

September 29, 2026 - Present

CETERA PLANNING PARTNERS

Office #1: 3390 Asbury Road, Dubuque, IA 52002

RIA

CRD#: 129625

Dubuque, IA

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 210 Jones St Suite 104, Dubuque, IA 52001

CRD#: 13572

DUBUQUE, IA

Past

September 30, 2020 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DUBUQUE, IA

Past

April 20, 2018 - September 29, 2026

AVANTAX PLANNING PARTNERS, INC.

RIA

CRD#: 106237

Dubuque, IA

Past

February 22, 2018 - September 30, 2020

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

DUBUQUE, IA

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".

CETERA PLANNING PARTNERS

CETERA PLANNING PARTNERS | THE RETIREMENT PLANNING GROUP, LLC | THE RETIREMENT PLANNING GROUP, INC.

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.

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

Arizona
(1/16/2026)

Colorado
(9/5/2025)

Illinois
(9/5/2025)

Indiana
(9/5/2025)

Iowa
(9/5/2025)

IAR

Iowa
(9/29/2026)

Minnesota
(9/5/2025)

Missouri
(9/5/2025)

Nebraska
(9/5/2025)

North Dakota
(9/5/2025)

South Dakota
(9/5/2025)

Texas
(9/5/2025)

IAR

Texas
(9/29/2026)

Wisconsin
(9/5/2025)

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

Exams

What does exam status mean?

State Security Law Exam

IAR

Series 66

Status Unavailable

Passed: 4/10/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 2/22/2018

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA PLANNING PARTNERS

CETERA PLANNING PARTNERS | THE RETIREMENT PLANNING GROUP, LLC | THE RETIREMENT PLANNING GROUP, INC.

CRD#: 129625 / SEC#: 801-62655

RIA

Registered Investment Advisory firm - (1/16/2004 Approved)

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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 (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CETERA PLANNING PARTNERS AUGUST 2026 (9/1/2026)

Regulatory assets under management

Total Number of Accounts	14,107
AUM (Assets Under Management)	$ 4,164,758,846

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/19/2026	Cover Page	Report
11/24/2025	Cover Page	Report
08/08/2024	Cover Page	Report
11/27/2023	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.

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Firm Stability Insights

Nicholas R. Kruse

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas R Kruse's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX INVESTMENT SERVICES, INC.

AVANTAX PLANNING PARTNERS, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

Primary Firm SEC Registration

CETERA PLANNING PARTNERS

State Registrations and Notice Filings

Exams

Series 66

Passed: 4/10/2018

SIE

Passed: 10/1/2018

Series 7

Passed: 2/22/2018

FINRA

Current Firm

CETERA PLANNING PARTNERS

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA PLANNING PARTNERS

TRUST BUT VERIFY

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