Allen H. Joy

MIDWEST FINANCIAL GROUP LLC

Topeka, KS 66615

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CRD#: 1007279

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

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.

ALLEN JOY - YES - 3735 SW WANAMAKER RD STE A TOPEKA KS 66610 - INSURANCE - AGENT - 01/11 - <5 HR/MO - SALES OF FIXED INSURANCE/ANNUITIES. JOY & COMPANY - NO - 3735 SW WANAMAKER RD STE A TOPEKA KS - NON-OPERATING LEGAL ENTITY USED FOR TAX/ACCOUNTING PURPOSES - OWNER - 11/82 - <5 HR/MO - ADMINISTRATIVE ACTIVITIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allen H Joy's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 20, 2016 - Present

MIDWEST FINANCIAL GROUP LLC

Office #1: 7130 Sw 21st Street, Topeka, KS 66615

RIA

CRD#: 175288

Topeka, KS

Past

June 1, 2011 - February 2, 2016

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

TOPEKA, KS

Past

January 27, 2011 - February 2, 2016

NATIONAL PLANNING CORPORATION

CRD#: 29604

TOPEKA, KS

Past

March 13, 1997 - January 28, 2011

PFS INVESTMENTS INC.

CRD#: 10111

TOPEKA, KS

Past

January 1, 1991 - August 16, 1995

PRIMELINE SECURITIES CORP.

CRD#: 15896

WICHITA, KS

Past

October 31, 1981 - September 25, 1984

NEW ENGLAND SECURITIES

CRD#: 615

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MIDWEST FINANCIAL GROUP LLC

ALPHA ASSET MANAGEMENT | MS FINANCIAL RESOURCES | MIDWEST FINANCIAL PARTNERS | MIDWEST FINANCIAL GROUP LLC | FRESH FINANCIAL PLANNING

CRD#: 175288 / SEC#: 801-81177

RIA

Registered Investment Advisory firm - (3/27/2015 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Kansas
(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

State Security Law Exam

IAR

Series 65

Date: 5/26/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/27/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/2/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/27/1990

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22

Date: 8/9/1982

Direct Participation Programs Representative Examination

Current Firm

MIDWEST FINANCIAL GROUP LLC

ALPHA ASSET MANAGEMENT | MS FINANCIAL RESOURCES | MIDWEST FINANCIAL PARTNERS | MIDWEST FINANCIAL GROUP LLC | FRESH FINANCIAL PLANNING

CRD#: 175288 / SEC#: 801-81177

RIA

Registered Investment Advisory firm - (3/27/2015 Approved)

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Contact information

Main Address

7400 W 130th Street, Suite 100, Overland Park, KS 66213

Mailing Address

Phone number

(913) 696-0041

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MFG ADV PART 2A (2/7/2025)

MFG ADV PART 2A APPENDIX (2/7/2025)

Regulatory assets under management

Total Number of Accounts	2,328
AUM (Assets Under Management)	$ 477,818,932

Red Flags

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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Allen H. Joy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allen H Joy's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

PFS INVESTMENTS INC.

PRIMELINE SECURITIES CORP.

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

MIDWEST FINANCIAL GROUP LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/26/2011

Series 63

Date: 12/27/1990

SIE

Date: 2/2/2016

Series 6

Date: 12/27/1990

Series 22

Date: 8/9/1982

Current Firm

MIDWEST FINANCIAL GROUP LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MIDWEST FINANCIAL GROUP LLC

TRUST BUT VERIFY

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