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11101 Switzer Road Suite 200, Overland Park, KS 66210 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2022-01-25 |
Branch Locations
11101 Switzer Road Suite 200, Overland Park, KS 66210 • United States
8235 Forsyth Boulevard Suite 540, Clayton, MO 63105 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hm Capital Management, Llc | Clayton | MO | 12/2014 | Present |
| Resources Investment Advisers, Llc | Overland Park | KS | 01/2022 | Present |
Caroline is a Board of Director at the Bank of Kampsville, 200 North Park, Hardin, IL 62047. This is not investment related but she is involved in the review and approval of loans. Caroline works approximately 5 hours per month during trading activity for conference calls. She was appointed to the bank's board of directors September 15, 2011. She became a member of the board of directors of the holding company at the January 12, 2012 stockholders meeting.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-12-19 |
| S63 | Uniform Securities Agent State Law Examination | 2004-11-12 |
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