Sandra K. Stump

CENTRAL STATES CAPITAL MARKETS

Wichita, KS 67202

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CRD#: 1219774

Professional summary

Sandra Kay Stump, who also goes by Sandra Reidl, Sandra Kay Riedl, Sandy Riedl, Sandra Kay Riedl-stump, is a registered financial professional currently at CENTRAL STATES CAPITAL MARKETS, LLC located in Wichita, Kansas.

Sandra is registered as a RR (Registered Representative) and started their career in finance in 1984. Sandra has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sandra Reidl | Sandra Kay Riedl | Sandy Riedl | Sandra Kay Riedl-Stump

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sandra Kay Stump'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

November 21, 2011 - Present

CENTRAL STATES CAPITAL MARKETS, LLC

Office #1: 245 N. Waco St Ste 525, Wichita, KS 67202

RIA

CRD#: 155291

Wichita, KS

Past

January 2, 2008 - November 18, 2011

DEWAAY FINANCIAL NETWORK, LLC

CRD#: 30767

WICHITA, KS

Past

August 30, 2006 - November 3, 2006

GOLD CAPITAL MANAGEMENT INC.

CRD#: 7036

OVERLAND PARK, KS

Past

June 1, 2006 - January 2, 2008

M&I FINANCIAL ADVISORS, INC

CRD#: 16517

WICHITA, KS

Past

January 29, 2001 - June 1, 2006

GOLD CAPITAL MANAGEMENT INC.

CRD#: 7036

WICHITA, KS

Past

November 14, 1995 - April 15, 1999

FIRST SECURITIES COMPANY OF KANSAS, INCORPORATED

CRD#: 313

Past

June 17, 1993 - January 29, 2001

RIEDL FIRST SECURITIES COMPANY OF KANSAS

CRD#: 30812

WICHITA, KS

Past

October 26, 1984 - August 8, 1991

DICKINSON & CO.

CRD#: 689

DES MOINES, IA

State Registrations and Notice Filings

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

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

California
(1/24/2012)

Colorado
(12/12/2011)

Illinois
(2/7/2023)

Kansas
(11/21/2011)

Nebraska
(2/7/2012)

New Mexico
(4/2/2013)

Oklahoma
(1/12/2012)

South Dakota
(3/29/2012)

Texas
(2/9/2012)

Washington
(1/12/2012)

Exams

State Security Law Exam

Series 63

Date: 10/25/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/20/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/11/1996

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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).

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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

FINRA licenses (27 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

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

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

Sandra K. Stump

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sandra Kay Stump's CRS (Customer Relationship Summary).

Certified licenses

Experience

DEWAAY FINANCIAL NETWORK, LLC

GOLD CAPITAL MANAGEMENT INC.

M&I FINANCIAL ADVISORS, INC

GOLD CAPITAL MANAGEMENT INC.

FIRST SECURITIES COMPANY OF KANSAS, INCORPORATED

RIEDL FIRST SECURITIES COMPANY OF KANSAS

DICKINSON & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/25/1984

SIE

Date: 10/1/2018

Series 7

Date: 10/20/1984

Series 24

Date: 11/11/1996

FINRA

Current Firm

CENTRAL STATES CAPITAL MARKETS, LLC

Contact information

FINRA licenses (27 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CENTRAL STATES CAPITAL MARKETS, LLC

TRUST BUT VERIFY

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