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RIA / WealthAdvisorCertified Financial Planner19 years in industry

Carolyn Vertovec

Advisor at CETERA PLANNING PARTNERS

LEAWOOD, KS

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Search this name across graphsid dfx:ria:1a65f73f-4fc6-6044-62ee-23c0552b439a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Oct 24, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA PLANNING PARTNERS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 23, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Oct 23, 2006
First registration: Oct 24, 2006
Dual registered: no
Other names: CAROLYN A VERTOVEC|Carolyn Vertovec|Carolyn Ann Vertovec
IAPD individual key: 5081034

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA PLANNING PARTNERS	Independent wealth	Mar 31, 2025	n/a	yes	LEAWOOD, KS	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 2, 2024	Oct 14, 2024	no	SAN DIEGO, CA\|KANSAS CITY, MO	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Nov 17, 2021	Apr 16, 2024	no	Fort Myers, FL	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Jul 23, 2020	Nov 11, 2021	no	Overland Park, KS	Previous registration
FISHER INVESTMENTS	Independent wealth	Sep 20, 2019	May 15, 2020	no	PLANO, TX\|KANSAS CITY, MO	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 26, 2010	Sep 13, 2019	no	KANSAS CITY, MO\|CHESTERFIELD, MO\|CHESTERFIELD, MO\|CREVE COEUR, MO\|KANSAS CITY, MO\|KANSAS CITY, MO\|KANSAS CITY, MO	Previous registration
VSR ADVISORY SERVICES	Former SEC adviser	Sep 23, 2009	Sep 30, 2010	no	LEAWOOD, KS\|OVERLAND PARK, KS	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 24, 2006	Jun 23, 2009	no	WASHINGTON, DC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL FINANCIAL LLC	CETERA PLANNING PARTNERS	Oct 14, 2024	Mar 31, 2025	168	Firm change	Ibd to RIA
UBS FINANCIAL SERVICES INC.	LPL FINANCIAL LLC	Apr 16, 2024	Jul 2, 2024	77	Firm change	Wirehouse to ibd
PRUCO SECURITIES, LLC	UBS FINANCIAL SERVICES INC.	Nov 11, 2021	Nov 17, 2021	6	Firm change	Ibd to wirehouse
FISHER INVESTMENTS	PRUCO SECURITIES, LLC	May 15, 2020	Jul 23, 2020	69	Firm change	RIA to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	FISHER INVESTMENTS	Sep 13, 2019	Sep 20, 2019	7	Firm change	Wirehouse to RIA
VSR ADVISORY SERVICES	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Sep 30, 2010	Nov 26, 2010	57	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	VSR ADVISORY SERVICES	Jun 23, 2009	Sep 23, 2009	92	Firm change	Other

Relationships

Registered with (7)

→ CETERA PLANNING PARTNERSRegistered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jul 2, 2024 to Oct 14, 2024factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Nov 17, 2021 to Apr 16, 2024factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Jul 23, 2020 to Nov 11, 2021factForm ADV
→ FISHER INVESTMENTSRegistered adviserregistration: previous registration
Sep 20, 2019 to May 15, 2020factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Nov 26, 2010 to Sep 13, 2019factForm ADV
→ VSR ADVISORY SERVICESRegistered adviserregistration: previous registration
Sep 23, 2009 to Sep 30, 2010factForm ADV

Dated events

Occurred
Oct 14, 2024
Advisor changed firm
Carolyn Vertovec left Lpl Financial Llc for Cetera Planning Partners (registered 2025-03-31)
Form ADVobserved 6 days ago
Occurred
Apr 16, 2024
Advisor changed firm
Carolyn Vertovec left Ubs Financial Services Inc. for Lpl Financial Llc (registered 2024-07-02)
Form ADVobserved 6 days ago