Sarah E. Kleinschmidt
Professional summary
Sarah Elizabeth Kleinschmidt, who also goes by Sarah Elizabeth Kleinshmidt, is a registered financial advisor currently at THE RETIREMENT PLANNING GROUP, LLC located in Honolulu, Hawaii.
Sarah is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Sarah has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Sarah Elizabeth Kleinschmidt's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 28, 2024 - Present
THE RETIREMENT PLANNING GROUP, LLC
Office #1: 3465 Waialae Avenue Suite 370, Honolulu, HI 96816May 22, 2020 - May 29, 2024
LEE FINANCIAL GROUP HAWAII, INC.
December 21, 2019 - December 7, 2023
LEE FINANCIAL SECURITIES, INC.
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
(5/28/2024)
(5/28/2024)
(5/28/2024)
Exams
Series 7TO
Date: 12/20/2019
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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