Stephen James Small

Current Employers

Aspen Wealth Management, Inc.

9300 W. 110Th Street Suite 680, Overland Park, KS 66210 • United States

Current Registrations

Authority	Category	Status	Date
MO	RA	APPROVED	2017-08-31
KS	RA	APPROVED	2007-09-06

MO RA
APPROVED

Since 2017-08-31
KS RA
APPROVED

Since 2007-09-06

Branch Locations

9300 W. 110Th Street Suite 680, Overland Park, KS 66210 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Aspen Wealth Management, Inc.	Overland Park	KS	08/2007	Present

08/2007 → Present

Aspen Wealth Management, Inc.

Overland Park, KS

Other Businesses

SWIFT INVESTMENTS, LLC; IS INVESTMENT-RELATED; 432 Granite Drive, RAYMORE, MO 64083; PERSONAL/FAMILY INVESTING; MANAGING MEMBER; 01/2005 INCORPORATED; 4 HRS/MONTH; ALL OUTSIDE NORMAL SECURITY TRADING HOURS; DUTIES ARE TO SEARCH FOR AND EVALUATE INVESTMENT OPPORTUNITIES AND OVERSEE TAX RETURN PREPARATION.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-09-05

S65 Uniform Investment Adviser Law Examination

2007-09-05

View on SEC IAPD

Current Employers

Aspen Wealth Management, Inc.

Disclosures

Employment History

Other Businesses

Exams

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