CS
Craig L. Splan
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CRD#: 1093707
CS
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Craig Lee Splan, CFP® was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1983. Craig had worked at 7 firms and has passed the Series 66, 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.
1. NAME OF OTHER BUSINESS: CWM, DBA CARSON PARTNERS - CRD # 155344 INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM THAT PROVIDES PORTFOLIO MANAGEMENT, FINANCIAL PLANNING, ESTATE PLANNING AND ADDITIONAL ADVISORY SERVICES POSITION/TITLE/RELATIONSHIP: WEALTH ADVISOR START DATE: 3/2023 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32 BRIEF DESCRIPTION OF DUTIES: PROVIDING ADVISORY SERVICES TO CLIENTS WHEN NEEDED; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 11/1999 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 2 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIESSELLS LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG-TERM CARE; 3. NAME OF OTHER BUSINESS: HYDE PARK TOWNHOMES, LLC INVESTMENT RELATED: NO ADDRESS: 3747 GILLHAM ROAD, KANSAS CITY, MO 64111 NATURE OF BUSINESS: BOARD FIDUCIARY POSITIONS START DATE: 1/2015 POSITION/TITLE/RELATIONSHSECRETARY APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: SCRIBE FOR MEETINGMINUTES 4. NAME OF OTHER BUSINESS: CWM, LLC DBA CARSON WEALTH INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES START DATE: 3/2023 POSITION/TITLE/RELATIONSHIP: WEALTH ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32 BRIEF DESCRIPTION OF DUTIES: WILL BE PROVIDING ADVISORY AND BROKERAGE SERVICES TO CLIENTS WHEN NEEDED; 5. NAME OF OTHER BUSINESS: CWM, LLC DBA CARSON GROUP HOLDINGS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: DBA FOR PAYROLL PURPOSES POSITION/TITLE/RELATIONSHIP: WEALTH ADVISOR START DATE: 3/2023 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32 BRIEF DESCRIPTION OF DUTIES: PROVIDING ADVISORY AND BROKERAGE SERVICES TO CLIENTS WHEN NEEDED 6. NAME OF OTHER BUSINESS: C & J HERITAGE ACRES, LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SET UP FORINVESTMENTS AND LIMIT FAMILY LIABILITY START DATE: 2/2010 POSITION/TITLE/RELATIONSHIP: MEMBER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32 BRIEF DESCRIPTION OF DUTIES: INVEST OUTSIDE ASSETS OF FAMILY (MYSELF AND SPOUSE) IN REAL ESTATE, PRIMARILYCOMMERCIAL AND RESIDENTIAL; 7. NAME OF OTHER BUSINESS: IWAS HOLDINGS, INC.; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR EXPENSE MANAGEMENT; START DATE: 05/2023; POSITION/TITLE/RELATIONSHIP: CO-OWNER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: DBA FOR EXPENSES, OVERSEE ACCOUNTING FOR BUSINESS EXPENSES;
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1989
Experience
Past
June 29, 2023 - October 2, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
OVERLAND PARK, KS
Past
June 7, 2023 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
OVERLAND PARK, KS
Past
April 3, 2023 - September 25, 2024
CWM, LLC
RIA
CRD#: 155344
Overland Park, KS
Past
April 3, 2023 - October 2, 2024
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
OVERLAND PARK, KS
Past
September 15, 2017 - January 12, 2018
GENEOS WEALTH MANAGEMENT, INC.
RIA
CRD#: 120894
OVERLAND PARK, KS
Past
January 4, 2010 - April 5, 2023
GENEOS WEALTH MANAGEMENT, INC.
BD
CRD#: 120894
OVERLAND PARK, KS
Past
January 28, 2009 - December 31, 2009
OSAIC WEALTH, INC.
RIA
CRD#: 23131
OVERLAND PARK, KS
Past
December 1, 1999 - May 31, 2023
INTEGRATED WEALTH ADVISORY SERVICES, INC.
RIA
CRD#: 115821
OVERLAND PARK, KS
Past
November 17, 1999 - December 31, 2009
OSAIC WEALTH, INC.
BD
CRD#: 23131
OVERLAND PARK, KS
Past
November 19, 1989 - March 1, 1990
OSAIC WEALTH, INC.
BD
CRD#: 23131
Past
October 20, 1983 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
