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Employer firm

Modern Wealth Management, LLC CRD 324624

$10.9B regulatory AUM 5 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Selection of other advisers
  • Periodicals / newsletters
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Modern Wealth Management, Llc

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2025-08-29
TX RA APPROVED 2025-08-29
  • AZ RA
    APPROVED
    Since 2025-08-29
  • TX RA
    APPROVED
    Since 2025-08-29

Branch Locations

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

1138 N Alma School Rd, Mesa, AZ 85201 • United States

Public Safety Financial/Galloway

1138 N Alma School Rd Suite 201, Mesa, AZ 85201 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-01-24
AZ RA APPROVED 2023-10-18
  • TX RA
    APPROVED
    Since 2024-01-24
  • AZ RA
    APPROVED
    Since 2023-10-18

Branch Locations

1138 N Alma School Rd Suite 201, Mesa, AZ 85201 • 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
Charles Schwab & Co., Inc. Phoenix AZ 06/2020 04/2022
Freeport-Mcmoran Phoenix AZ 02/2020 06/2020
Gcu Office Of Alumni Relations Phoenix AZ 01/2019 12/2019
Freeport-Mcmoran Morenci AZ 05/2019 08/2019
Oneway Ministries Aurora IL 06/2018 08/2018
Grand Canyon University Phoenix AZ 08/2017 04/2019
Booster Enterprises, Inc. Tempe AZ 09/2017 04/2018
Grand Canyon University Phoenix AZ 08/2016 12/2019
Lpl Financial Llc Phoenix AZ 04/2022 09/2023
Galloway Asset Management, Llc Mesa AZ 09/2023 Present
Modern Welalth Management, Llc Mesa AZ 08/2025 Present
  • 06/2020 → 04/2022
    Charles Schwab & Co., Inc.
    Phoenix, AZ
  • 02/2020 → 06/2020
    Freeport-Mcmoran
    Phoenix, AZ
  • 01/2019 → 12/2019
    Gcu Office Of Alumni Relations
    Phoenix, AZ
  • 05/2019 → 08/2019
    Freeport-Mcmoran
    Morenci, AZ
  • 06/2018 → 08/2018
    Oneway Ministries
    Aurora, IL
  • 08/2017 → 04/2019
    Grand Canyon University
    Phoenix, AZ
  • 09/2017 → 04/2018
    Booster Enterprises, Inc.
    Tempe, AZ
  • 08/2016 → 12/2019
    Grand Canyon University
    Phoenix, AZ
  • 04/2022 → 09/2023
    Phoenix, AZ
  • 09/2023 → Present
    Galloway Asset Management, Llc
    Mesa, AZ
  • 08/2025 → Present
    Modern Welalth Management, Llc
    Mesa, AZ
Previous Registrations
Other Businesses

1) MCTLR, Inc. dba Public Safety Financial Insurance : Whether the business is investment-related: Yes - selling fixed and fixed indexed annuities: 1138 N. Alma School Road, Suite 201, Mesa, AZ 85201: Insurance and annuity sales: Agent: 04/01/2024: The approximate number of hours/month you devote to the other business: 5 hours: The number of hours you devote to the other business during securities trading hours: 3 hours : Briefly describe your duties relating to the other business: Selling fixed and fixed indexed annuities 2) Public Safety Financial Insurance: Not investment related: 1138 N. Alma School Rd, #201, Mesa, AZ 85201: Insurance and annuity sales: Financial Advisor: 03/28/2024: The approximate number of hours/month you devote to the other business: 5 hours: The number of hours you devote to the other business during securities trading hours: 3 hours: Writing fixed and fixed indexed annuities; approximately 5% of total yearly compensation is derived from this business.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-09-03
S63 Uniform Securities Agent State Law Examination 2021-04-26
  • S65 Uniform Investment Adviser Law Examination
    2022-09-03
  • S63 Uniform Securities Agent State Law Examination
    2021-04-26
Designations
  • Certified Financial Planner
Other Names
  • Jt Henderson
  • John Thomas Henderson

View on SEC IAPD

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