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4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KS | RA | APPROVED | 2022-08-19 |
| MO | RA | APPROVED | 2022-08-19 |
Branch Locations
4200 W 115Th Street, Suite 210, Leawood, KS 66211 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Heartland Asset Management, Llc (154174) | Shawnee | KS | 09/2010 | 01/2020 |
| Frontier Wealth Management, Llc | Kansas City | MO | 01/2020 | 07/2022 |
| Capfinancial Partners, Llc (Captrust) | Raleigh | NC | 07/2022 | Present |
Trustee of The Ronald and Pat McClain Good Samaritan Trust; not investment related; private residence; It is a charitable trust established by a great uncle of mine prior to his passing. Started 4/1/16; 4-5 hours per month on trust business; 1 hour during trading; We support the Hereditary Neurological Disease Center and fund a small scholarship in Grain Science at Kansas State University. The investment management is outsourced to David Neal at CAPTRUST. My main duties include making the annual distributions, communicating with the accountant for tax filings, working with the attorney to make any changes to the trust (i.e. adding/removing trustees as necessary), and updating the other co-trustees on any issues including, but not limited to, distribution status, tax filings, and investment performance.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-05-06 |
| S63 | Uniform Securities Agent State Law Examination | 2002-11-14 |
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