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1712 Main Street Suite 400, Kansas City, MO 64108 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-04-18 |
Branch Locations
546 Hartnell St Suite F, Monterey, CA 93940 • United States
1712 Main Street Suite 400, Kansas City, MO 64108 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| United Capital Financial Advisers, Llc | Newport Beach | CA | 08/2014 | 12/2022 |
| Modern Wealth Management, Llc | Monterey | CA | 12/2022 | Present |
1. Owner of Gel Properties LLC, a real estate holding company. Activity will take place from Monterey, CA. Organization is not primarily engaged in investment-related activity. Start date was October 17, 2011. Four hours per month. Duties include the general management of the company. 2. Owner of Gel Capital Group, a real estate holding company. Activity will take place from Monterey, CA. Organization is not primarily engaged in investment-related activity. Start date was July 1, 2019. Six hours per month. Duties include the general management of the company. 3. Owner of Watsonville Apartment, LLC, a real estate holding company. Activity will take place from Monterey, CA. Organization is not primarily engaged in investment-related activity. Start date was September 15, 2019. Six hours per month. Duties include the general management of the company. 4. Owner of a residential real estate property located in Monterey, CA. Organization is not primarily engaged in investment-related activity. Start date was March 1, 2022. One hour per month. Duties include the general management of the property. 5. Capital Group. Investment Related. Capital Group, 333 S. Hope Street, 53rd Floor, Los Angeles, CA 90071, (800) 421-9900. Capital Group's RIA Advisory Board provides insight and feedback on how RIAs can better serve clients and strengthen their practices. Board Member. Start Date: 04/01/2025. Attends 2 in-person meetings and 2 virtual sessions annually (estimated monthly average: less than 10% of the month. Participates in board discussions, provides feedback and insights on advisory practices, and contributes to strategic conversations on enhancing RIA client service and business growth. Meetings may occur during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-08-22 |
| S63 | Uniform Securities Agent State Law Examination | 2001-08-01 |
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