Michael Ludwig Kappes

Employer firm

Next Steps Advisors, Inc. CRD 301389

$43.0M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2014 → 09/2019
  Kms Financial Services, Inc.
  Seattle, WA
• 11/2015 → Present
  Next Steps Advisors, Inc.
  Bellevue, WA

Previous Registrations

• 2014-05-23 → 2019-09-30
  Kms Financial Services, Inc.
  Bellevue, WA
• 2008-01-21 → 2014-06-02
  Stancorp Investment Advisers, Inc.
  Lynnwood, WA
  Bellevue, WA

Other Businesses

NEXT STEP ADVISORS - INVESTMENT RELATED - SAME ADDRESS - DBA - OWNER - 12/1/2015 - 160 HRS/MO, 100 HRS/MO DURING TRADING

Exams

• S65 Uniform Investment Adviser Law Examination
  2008-01-18
• S63 Uniform Securities Agent State Law Examination
  1993-09-17

Other Names

• Mike Kappes
• Michael L Kappes