MH
Michael A. Horton
CENTRAL STATES CAPITAL MARKETS
Wichita, KS 67202
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CRD#: 1041106
MH
Professional summary
Michael Alan Horton is a registered financial professional currently at CENTRAL STATES CAPITAL MARKETS, LLC located in Wichita, Kansas.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1982. Michael has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Michael Alan Horton's 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®
NoneExperience
Current
September 13, 2011 - Present
CENTRAL STATES CAPITAL MARKETS, LLC
Office #1: 245 N. Waco St Ste 525, Wichita, KS 67202RIA
BD
CRD#: 155291
Wichita, KS
Past
January 2, 2008 - November 18, 2011
DEWAAY FINANCIAL NETWORK, LLC
BD
CRD#: 30767
WICHITA, KS
Past
August 30, 2006 - November 3, 2006
GOLD CAPITAL MANAGEMENT INC.
BD
CRD#: 7036
OVERLAND PARK, KS
Past
June 1, 2006 - January 2, 2008
M&I FINANCIAL ADVISORS, INC
BD
CRD#: 16517
WICHITA, KS
Past
May 24, 1982 - June 1, 2006
GOLD CAPITAL MANAGEMENT INC.
BD
CRD#: 7036
WICHITA, KS
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(12/9/2011)
RR
California(10/28/2015)
RR
Colorado(1/11/2012)
RR
Florida(2/10/2012)
RR
Iowa(3/23/2015)
RR
Kansas(11/30/2011)
RR
Maryland(5/22/2012)
RR
Missouri(11/21/2011)
RR
Montana(11/10/2015)
RR
Nevada(12/5/2011)
RR
New Mexico(1/25/2024)
RR
Ohio(5/25/2021)
RR
Oklahoma(4/30/2015)
RR
South Dakota(1/8/2024)
RR
Texas(2/3/2012)
RR
Virginia(9/22/2022)
RR
Washington(1/12/2012)
RR
Wisconsin(9/18/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CENTRAL STATES CAPITAL MARKETS, LLC
CENTRAL STATES CAPITAL MARKETS, LLC
CRD#: 155291 / SEC#: 801-79295, 8-68711
RIA
Registered Investment Advisory firm - SEC (1/3/2017 Terminated)Iowa
Registered Investment Advisory firm - SEC (1/23/2018 Approved)Kansas
Registered Investment Advisory firm - SEC (10/12/2016 Approved)Missouri
Registered Investment Advisory firm - SEC (12/29/2016 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
4200 W 83rd Street Suite 101, Prairie Village, KS 66208
Mailing Address
4200 W 83rd Street Suite 101, Prairie Village, KS 66208
Phone number
(913) 766-6565
Established
Kansas since 08/31/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
4
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLASSEN, MARK K | MEMBER | 6886821 |
| CENTRAL STATES FINANCIAL SERVICES, LLC | HOLDING COMPANY; MEMBER | |
| YOUNG, ROBERT MORRIS JR | CHAIRMAN & CCO | 501297 |
| ADDISON, LAURIE ANNE | CHIEF FINANCIAL OFFICER & FINOP | 7488882 |
| HORTON, MICHAEL ALAN | DIRECTOR, BRANCH MANAGER | 1041106 |
| STEPP, JOHN DANIEL | MANAGING DIRECTOR, CEO; ELECTED MANAGER | 501417 |
Regulatory assets under management
| Total Number of Accounts | 38 |
| AUM (Assets Under Management) | $ 27,936,117 |
Disclosures
| Regulatory Event | 6 |
| Criminal | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CENTRAL STATES CAPITAL MARKETS, LLC
CRD#: 155291Wichita, KS 67202TRUST BUT VERIFY
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