JK
Joel P. Kasten
NEXT GENERATION INVESTING
Topeka, KS 66614
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CRD#: 7570795
JK
Professional summary
Joel Parker Kasten, who also goes by Joel Kasten, is a registered financial advisor currently at NEXT GENERATION INVESTING, LLC located in Topeka, Kansas and RETIREMENT PORTFOLIOS, LLC located in Lawrence, Kansas.
Joel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Joel has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joel Kasten
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. PIPAC Health & Life Brokerage/Not Investment Related/1304 Technology Pkwy #200, Cedar Falls, IA 50613/Renewal Commission from Medicare Supplements sold previously/Insurance Producer/Insurance Producer relationship with PIPAC/02/01/2021/Zero/Zero/Previously sold Medicare supplements through PIPAC. Currently no responsibilities or duties relating to this outside business. 2. Independent Health/Life/Annuity Insurance Agent; Not Investment related; 5204 Harvard Rd, Lawrence, KS, 66049; Nature of OBA: Independent consulting and assistant to Ryan Shumaker for sale of life, health and annuity products.; Posn/Title: Independent Producer/Contractor; Start Date: 01/20/23; Approx No of Hrs/Mth for OBA: 10 Hrs; Approx Hrs/Mth to OBA during trading hrs: 10 Hrs; Duties: Independent consulting and assistant to Ryan Shumaker for sale of life, health, and annuity products. 3. Trustee for Mitch and Rachel Alle (Brother and Sister-in-Law); Not Investment related; 5204 Harvard Rd, Lawrence, KS, 66049; Nature of OBA:I am the listed trustee for my brother and sister in law's trust; Posn/Title: Trustee; Start Date: 10/01/24; Approx No of Hrs/Mth for OBA: 0 Hrs; Approx Hrs/Mth to OBA during trading hrs: 0 Hrs; Duties: In the event that my brother and sister in law pass away I will act as the trustee for their trust. 4. Retirement Portfolios, LLC; Yes, Investment Related; 1429 Oread W. Dr #110A, Lawrence, KS, 66049; Nature of OBA: Registered Investment Advisor; Posn/Title: Investment advisor representative; Start Date: 01/13/2025; Approx Hrs/Mth towards OBA: 100 Hrs; Hrs/Mth during trading Hrs: 100Hrs; Duties towards the OBA: Investment advising.
CRS (Client Relationship Summary) - RIA
Click below to view Joel Parker Kasten's 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®
NoneExperience
Current
February 17, 2023 - Present
NEXT GENERATION INVESTING, LLC
Office #1: 5909 Sw 28th St. #100, Topeka, KS 66614RIA
CRD#: 149017
Topeka, KS
Current
January 13, 2025 - Present
RETIREMENT PORTFOLIOS, LLC
Office #1: 1429 Oread W Dr #110a, Lawrence, KS 66049RIA
CRD#: 330289
LAWRENCE, KS
Past
May 23, 2024 - April 7, 2025
WORLD EQUITY GROUP, INC.
RIA
CRD#: 29087
Lawrence, KS
Past
January 5, 2023 - March 20, 2023
WORLD EQUITY GROUP, INC.
RIA
CRD#: 29087
Lawrence, KS
Past
August 29, 2022 - April 7, 2025
WORLD EQUITY GROUP, INC.
BD
CRD#: 29087
Lawrence, KS
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".
RP
RETIREMENT PORTFOLIOS, LLC
RETIREMENT PORTFOLIOS, LLC
CRD#: 330289 / SEC#: 801-131708
RIA
Registered Investment Advisory firm - (1/8/2025 Approved)Kansas
Registered Investment Advisory firm - (1/10/2025 Terminated)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(2/17/2023)
IAR
Texas(2/17/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/29/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
RP
RETIREMENT PORTFOLIOS, LLC
RETIREMENT PORTFOLIOS, LLC
CRD#: 330289 / SEC#: 801-131708
RIA
Registered Investment Advisory firm - (1/8/2025 Approved)Kansas
Registered Investment Advisory firm - (1/10/2025 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1429 Oread W Dr #110a, Lawrence, KS 66049
Mailing Address
Phone number
(785) 330-9292
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 225 |
| AUM (Assets Under Management) | $ 153,000,000 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Kansas | ERA - Withdrawn | 11/3/2024 |
| Texas | ERA - Withdrawn | 11/26/2024 |
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.
