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Kathy Lynn Lum

THE Retirement Planning Group, LLC

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About Kathy Lynn Lum

Kathy Lynn Lum is a registered Investment Advisor Representative with The Retirement Planning Group, LLC. Kathy Lum has been in the industry for over 30 years and has experience in financial planning and portfolio management for both individuals and high-net-worth individuals. Kathy Lum has held previous positions at LEE FINANCIAL SECURITIES, INC. and CHARLES SCHWAB & CO., INC. Kathy Lum is currently registered in Hawaii, Kansas, and Texas.

Firm Information

Kathy Lum is currently registered with THE Retirement Planning Group, LLC. THE Retirement Planning Group, LLC is an investment advisor registered with the SEC. The firm manages approximately $2.63 billion in assets for 8,607 clients, including high-net-worth individuals and individuals other than high-net-worth. The firm provides financial planning, portfolio management for individuals, and educational seminars. They are based in Leawood, KS.
THE Retirement Planning Group, LLC

4811 W. 136TH STREET

LEAWOOD, KS 66224

$2.63B

Assets Under Management

Not reported

Total Clients

34

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Kathy Lum’s Registration & Firm History

KS

05/28/2024 - Present

THE Retirement Planning Group, LLC (LEAWOOD KS)

HI

02/28/2005 - 12/07/2023

LEE FINANCIAL SECURITIES, INC. (HONOLULU HI)

TX

10/08/1999 - 01/06/2005

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

TX

02/08/1989 - 07/20/1999

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

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Licenses & Designations

IA

Issued 03/30/2005

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/08/1989

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/14/1995

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/21/1989

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Kathy Lynn Lum.
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