James N. Reardon

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CRD#: 1186862

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.

James Norman Reardon, CFP®, who also goes by Jim Reardon, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1983. James had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.

Biography

Jim was a Topeka City Councilman for 12 years, he served in both the army and air force national guard. He has served on several community boards and investment committees including the Topeka Chamber of Commerce, The Villages, and The Countryside (United Methodist Church) Forever Foundation. Investment committees include the 501 School District Foundation, the Hummer Sports Park Foundation, and the Kansas Department of the American Legion. Jim is a collector of books and baseball memorabilia.  He is married to Linda Loehr Reardon a long-time teacher in the Seaman School District. They are members of the Washburn and KSU Alumni Associations and the Washburn Whiting Society. They enjoy travelling, family outings, and raising grandchildren.

Question & Answer

What are your service offerings?

Retirement Planning

Insurance Planning

Employee and Employer Plan Ben...

Investment Planning

Comprehensive Financial Planni...

Estate Planning

Do you have an area of expertise or specialization?

Estate & Generational Planning...

High Net Worth Client Needs

Insurance Related Issues

Investment Advice with Ongoing...

Middle Income Client Needs

Retirement Planning & Distribu...

What is your minimum asset requirement?

100K

Are you a "fiduciary"?

Aliases

Jim Reardon

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) JAMES REARDON; THE VILLAGES, INC.; 7240 SW 10TH STREET, TOPEKA, KANSAS 66615; BOARD MEMBER AND INVESTMENT COMMITTEE MEMBER; BEGAN JANUARY 2015; APPROXIMATELY 4 HOURS PER MONTH DURING TRADING HOURS; ATTEND QUARTERLY MEETINGS TO REVIEW AND APPROVE INVESTMENT REPORTS; REVIEW AND APPROVE OF OVERALL BUDGET, ASSIST IN INVESTMENT POLICY. (2) JAMES REARDON; COUNTRYSIDE Forever Foundations; 3221 SW Burlingame Road, Topeka, KS; BOARD MEMBER AND ENDOWMENT FUND COMMITTEE MEMBER;APPROXIMATELY 2 HOURS PER MONTH OUTSIDE OF TRADING HOURS; BEGAN 2017; REVIEW FISCAL BUDGET; PARTICIPATE IN FUNDRAISING ACTIVITIES; REVIEW PERFORMANCE OF FOUNDATION INVESTMENTS; (3) JAMES REARDON; Midland Care Connection; 200 SW Frazier Circle, Topeka, KS; MEMBER OF PLANNED GIVING COMMITTEE;APPROXIMATELY 2 HOURS PER MONTH OUTSIDE OF TRADING HOURS; BEGAN 2017; ATTEND COMMITTEE MEETINGS, ASSIST DONORS IN MAKING PLANNED GIVING DECISIONS, PROMOTE AND PARTICIPATE IN FUNDRAISING ACTIVITIES.

Blog Corner

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^®

CRD#: 14503

TOPEKA, KS

Past

March 30, 2000 - June 28, 2000

OFG FINANCIAL SERVICES, INC.

CRD#: 23940

TOPEKA, KS

Past

November 19, 1989 - April 2, 1993

OSAIC WEALTH, INC.

CRD#: 23131

Past

September 24, 1985 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

June 26, 1984 - August 29, 1985

BEECROFT, COLE & COMPANY, INC.

CRD#: 82

Past

October 20, 1983 - March 16, 1984

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

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".

PROACTIVE CAPITAL MANAGEMENT, INC.

CRD#: 297791 / SEC#: 801-128137

RIA

Registered Investment Advisory firm - (6/9/2023 Approved)

Kansas

Registered Investment Advisory firm - (6/21/2023 Terminated)

Texas

Registered Investment Advisory firm - (6/21/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Series 63

Date: 3/31/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/7/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/29/2000

General Securities Representative Examination

Current Firm

PROACTIVE CAPITAL MANAGEMENT, INC.

CRD#: 297791 / SEC#: 801-128137

RIA

Registered Investment Advisory firm - (6/9/2023 Approved)

Kansas

Registered Investment Advisory firm - (6/21/2023 Terminated)

Texas

Registered Investment Advisory firm - (6/21/2023 Terminated)

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Contact information

Main Address

1414 Sw Ashworth Place Suite 200, Topeka, KS 66604

Mailing Address

Phone number

(785) 215-8080

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A & 2B-PROACTIVE CAPITAL MANAGEMENT INC (1/24/2025)

Regulatory assets under management

Total Number of Accounts	601
AUM (Assets Under Management)	$ 151,549,748

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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Firm Stability Insights

James N. Reardon

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LEGACY FINANCIAL STRATEGIES, LLC

LEGACY FINANCIAL STRATEGIES, LLC

VSR FINANCIAL SERVICES, INC.

THE MASTERS, INC.

VSR FINANCIAL SERVICES, INC.

OFG FINANCIAL SERVICES, INC.

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

BEECROFT, COLE & COMPANY, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

PROACTIVE CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/31/2000

SIE

Date: 1/7/2015

Series 7

Date: 3/29/2000

Current Firm

PROACTIVE CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROACTIVE CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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