Allen H Joy
Professional Summary
Allen H Joy is a registered financial advisor currently at MIDWEST FINANCIAL GROUP LLC located in Topeka, Kansas. Allen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Allen has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 22 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
45 years in the financial services industry
Current & Past Employments
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Current Firm
ALPHA ASSET MANAGEMENT | MS FINANCIAL RESOURCES | MIDWEST FINANCIAL PARTNERS | MIDWEST FINANCIAL GROUP LLC | FRESH FINANCIAL PLANNING
Contact Information
Main Address
7400 W 130th Street, Suite 100, Overland Park, KS 66213Phone Number
(913) 696-0041# of Employees
9SEC notice filing (12 States and Territories)
Registered to provide investment advisory services in 12 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
2,222AUM (Assets Under Management)
$566,081,879Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
ALPHA ASSET MANAGEMENT | MS FINANCIAL RESOURCES | MIDWEST FINANCIAL PARTNERS | MIDWEST FINANCIAL GROUP LLC | FRESH FINANCIAL PLANNING
State Registrations and Notice Filings
(1/20/2016)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 1990About the Series 6 examSeries 22 — Direct Participation Programs Representative Examination
Passed Aug 1982About the Series 22 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Allen H Joy's CRS (Customer Relationship Summary).
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