Richard Mark Tsoumas

Current Employers

Employment History

• 06/1999 → Present
  The Planning Group
  Battle Creek, MI
• 04/2016 → Present
  Kestra Advisory Services, Llc
  Battle Creek, MI
• 06/1999 → Present
  Kestra Investment Services, Llc
  Battle Creek, MI

Other Businesses

Name: The Planning Group Investm Related: Yes Address: 500 Country Pine Ln, Ste 1 Battle Creek MI 49015 Nature of Busi: Reg Rep Activities through Kestra IS, LLC using a DBA name; Consulting; Ins.; Investm Advisory services through Kestra AS, LLC Position: practice leader and producing reg rep. Start: 8/20/1999 Hrs per Mo: More than 160 Hrs Hrs per Mo during trading Hrs: 127 - 140 Hrs Dts: General wealth mgmt and fin planning activities, including investm adv matters, retirement plan, risk mgmt, and life ins sales. Name: Kestra Advisory Services, LLC Investm Related: Yes Address: 5707 Southwest Pkway Bldg 2, Ste 400 Austin TX 78735 Nature of Busi: Investm Advisory services through Kestra Advisory Services, LLC Position: Investm Advisor Representative Start: 4/4/2016 Hrs per Mo: Up to 100% (0 to 160 Hrs) Hrs per Mo during trading Hrs: Up to 100% (0 to 160 Hrs) Dts: Investm advisory services Name: Guido A. & Elizabeth H. Binda Foundation Investm Related: No Address: 15 Capital Ave NE Suite 205 Battle Creek MI 49017 Nature of Busi: Board Position Position: Trustee - Board of Trustees, Treasurer; Finance Committee; Grants Review Committee Start: 7/1/1993 Hrs per Mo: 0 - 16 Hrs Hrs per Mo during trading Hrs 0 - 14 Hrs Dts: I provide oversight and strategy as a trustee at a board level. I am not involved in the day-to-day operation of the portfolio. We have outside investm managers for the $22mil portfolio. Name: JoRic Investms, LLC. Investm Related: No Address: 500 Country Pine Lane, Ste 1 Battle Creek MI 49015 Nature of Busi: Board Position; Real Estate Position: 30% owner and co-manager Start: 9/15/2004 Hrs per Mo: 0 - 16 Hrs Hrs per Mo during trading Hrs: 0 - 14 Hrs Dts: Mgmt oversight, financial mgmt, maintain the books and records Name: Country Pines Planning, LLC Investm Related: No Address: 500 Country Pine Lane, Ste 1 Battle Creek MI 49015 Nature of Busi: Real Estate Position: Manager/President ;sole owner and manager of the entity and property. Start: 4/1/2015 Hrs per Mo: 0 - 16 Hrs Hrs per Mo during trading Hrs: 0 - 14 Hrs Dts: I am the sole owner and manager of the entity and property. Name: W. K. KELLOGG FOUNDATION TRUST POSITION: I would be one of four co-trustees of the WKKFT. NATURE: Legal/Attorney/Trustee/Executor INVESTMENT RELATED: Yes # OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 11/15/2023 ADDRESS: One Michigan Avenue East, Battle Creek MI 49017-4012 DESCRIPTION: The four Co-trustees are to provide fiduciary and governance oversight for the trust, assure that financial and legal obligations are met and coordinated with the Trust's sole beneficiary, the WKKF. There are generally quarterly meetings. Name: RHS Ventures, LLC Investm Related: No Address: 500 Country Pine Ln, Ste 1 Battle Creek MI 49015 Nature of Busi: Real Estate Position: co-manager Start: 2/25/2005 Hrs per Mo: 0 - 16 Hrs Hrs per Mo during trading Hrs: 57 - 70 Hrs Dts: My wife is the owner ; I am listed as a co-manager as a back-up to her and my sister-in-law

Exams

• S66 Uniform Combined State Law Examination
  1999-08-09

Designations