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Current Employers
Modern Wealth Management, Llc

1712 Main Street Suite 400, Kansas City, MO 64108 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-06-30
  • CA RA
    APPROVED
    Since 2025-06-30

Branch Locations

713 Campus Square West, El Segundo, CA 90245 • United States

1712 Main Street Suite 400, Kansas City, MO 64108 • 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
OrganizationCityStateFromTo
Mutual Securities, Inc. Camarillo CA 03/2015 06/2017
Kaye Capital Management El Segundo CA 03/2015 12/2025
Modern Wealth Management, Llc El Segundo CA 06/2025 Present
  • 03/2015 → 06/2017
    Mutual Securities, Inc.
    Camarillo, CA
  • 03/2015 → 12/2025
    Kaye Capital Management
    El Segundo, CA
  • 06/2025 → Present
    El Segundo, CA
Previous Registrations
  • 2016-04-01 → 2025-12-31
    Kaye Capital Management
    El Segundo, CA
    El Segundo, CA
    Los Angeles, CA
Other Businesses

1. MODERN WEALTH INSURANCE SERVICES, LLC; INVESTMENT RELATED; 13550 W 95TH STREET, LENEXA, KS; INSURANCE SALES; POSITION/TITLE - PRODUCER; STATE DATE 7/1/2025; 1 HOUR PER WEEK DURING TRADING HOURS; DUTIES - INSURANCE SALES & CONSULTING; 2. KDWH PROPERTIES, LLC; NON-INVESTMENT RELATED; 713 CAMPUS SQUARE WEST, EL SEGUNDO, CA, USA, 90245; LLC FOR REAL ESTATE PURCHASE; POSITION/TITLE; MANAGING MEMBER, START DATE 10/27/21; 0 HOURS/MONTH, 0 DURING TRADING HOURS; DUTIES - OWNER OF OFFICE SPACE. 3. LOS ANGELES COUNTRY CLUB; INVESTMENT RELATED; 10101 WILSHIRE BLVD, LOSE ANGELES, CA 90024; NON-PROFIT GOLF CLUB; POSITION/TITLE - FINANCE & INVESTMENT COMMITTEE MEMBER; START DATE: 9/2020; 2 HOURS PER QUARTER; OVERSEE CLUB FINANCES & INVESTMENTS 4. ROSE NEVADA, INC.; NON-INVESTMENT RELATED; 1835 VILLAGE CENTER CIRCLE, LAS VEGAS, NV 89134; SINGLE FAMILY TRUST SERVICES; POSITION/TITLE - PRESIDENT/CEO; 10/2020; 1-2 HOURS PER MONTH DURING TRADING HOURS; TRUSTEE SERVICES. 5. MONLY, LLC; NON-INVESTMENT RELATED; 2828 COCHRAN #367, SIMI VALLEY, CA 93065; WINE & LIQUOR CLUB; POSITION/TITLE - MANAGING MEMBER/ WIFE'S BUSINESS; 12/2021; 1 HOUR PER MONTH, NOT DURING TRADING; OVERSEE FINANCES 6. BASEBALL FOR ALL; NON-INVESTMENT RELATED; 22 W GREEN ST 408, PASADENA, CA 91105; NON-PROFIT BASEBALL ASSOCIATION; POSITION/TITLE: BOARD MEMBER; 10/2020; 1-2 HOURS PER MONTH NOT DURING TRADING HOURS 7. CROHN'S & COLITIS FOUNDATION - ADVOCACY COMMITTEE; NON-INVESTMENT RELATED; NON-PROFIT HEALTH ORGANIZATION; POSITION/TITLE - ADVOCACY COMMITTEE MEMBER; START DATE: 06/01/25 ;/ 4 MEETINGS PER YEAR, 2 HOURS EACH, NOT DURING TRADING HOURS; DUTIES - ADVOCATE FOR IBD PATIENTS, CAREGIVERS, /AND PROVIDERS ON ACCESS TO MEDICALLY APPROPRIATE TREATMENTS 8. AMERICAN RETIREMENT ASSOCIATION; INVESTMENT RELATED; 4401 FAIRFAX DR #600, ARLINGTON, VA 22203; STEERING COMMITTEE FOR NATIONAL CONFERENCE; CONSULTANT; HELP WITH THE AMERICAN RETIREMENT ASSOCIATIONS NATIONAL CONFERENCE ON THEIR STEERING COMMITTEE (NAPA 401(K) SUMMIT). THE COMMITTEE'S RESPONSIBILITY IS TO HELP PLAN THE AGENDA FOR THE EVENT AND ENTERTAINMENT; START: 7/1/2026; 1-2 HOURS PER MONTH

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-05-28
S63 Uniform Securities Agent State Law Examination 2005-04-13
  • S65 Uniform Investment Adviser Law Examination
    2015-05-28
  • S63 Uniform Securities Agent State Law Examination
    2005-04-13

View on SEC IAPD

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