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MF

Mark S. Falter

MID-AMERICAN WEALTH ADVISORY GROUP
Kansas City, MO 64153
Some features on this profile are disabled
CRD#: 1387482
MF

Professional summary

Mark Stephen Falter is a registered financial advisor currently at MID-AMERICAN WEALTH ADVISORY GROUP located in Kansas City, Missouri.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Mark has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Stephen Falter'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

March 31, 2021 - Present

MID-AMERICAN WEALTH ADVISORY GROUP

Office #1: 7505 Nw Tiffany Springs Parkway 4th Floor, Kansas City, MO 64153
RIA
CRD#: 301621
Kansas City, MO
Past

October 21, 2020 - January 11, 2021

MID-AMERICAN WEALTH ADVISORY GROUP

RIA
CRD#: 301621
KANSAS CITY, MO
Past

April 16, 2015 - June 1, 2021

SOUND INCOME STRATEGIES, LLC

RIA
CRD#: 173272
Kansas City, MO
Past

January 4, 2010 - November 16, 2015

INVESTORS CAPITAL CORP.

RIA
CRD#: 30613
KANSAS CITY, MO
Past

January 4, 2010 - November 16, 2015

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
KANSAS CITY, MO
Past

January 12, 2005 - December 31, 2009

INVESTORS CAPITAL CORP.

RIA
CRD#: 30613
WESTON, MO
Past

July 6, 1998 - December 31, 2004

EASTERN POINT ADVISORS INC.

RIA
CRD#: 107123
WESTON, MO
Past

January 3, 1997 - December 31, 2009

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
WESTON, MO
Past

October 31, 1996 - December 31, 1996

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
EL SEGUNDO, CA
Past

April 1, 1993 - December 31, 1995

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA
Past

August 20, 1992 - December 31, 1992

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA
Past

August 28, 1985 - October 14, 1991

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA

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".
MW
MID-AMERICAN WEALTH ADVISORY GROUP
MID AMERICAN WEALTH ADVISORY SERVICES | MID-AMERICAN WEALTH ADVISORY GROUP INC. | MID-AMERICAN WEALTH ADVISORY GROUP | MID AMERICAN WEALTH ADVISORY SERVICES LLC

CRD#: 301621 / SEC#: 801-121111

RIA
Registered Investment Advisory firm - (4/30/2021 Approved)
Kansas
Registered Investment Advisory firm - (7/12/2022 Terminated)
Missouri
Registered Investment Advisory firm - (7/12/2022 Terminated)

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
(4/5/2021)
IAR
Missouri
(3/31/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/30/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/5/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/16/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/27/1985
Investment Company Products/Variable Contracts Representative Examination

Current Firm

MW
MID-AMERICAN WEALTH ADVISORY GROUP
MID AMERICAN WEALTH ADVISORY SERVICES | MID-AMERICAN WEALTH ADVISORY GROUP INC. | MID-AMERICAN WEALTH ADVISORY GROUP | MID AMERICAN WEALTH ADVISORY SERVICES LLC

CRD#: 301621 / SEC#: 801-121111

RIA
Registered Investment Advisory firm - (4/30/2021 Approved)
Kansas
Registered Investment Advisory firm - (7/12/2022 Terminated)
Missouri
Registered Investment Advisory firm - (7/12/2022 Terminated)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
7505 Nw Tiffany Springs Parkway 4th Floor, Kansas City, MO 64153
Mailing Address
Phone number
(816) 640-5888
Established
Firm type
Fiscal year end
# of Employees
21

SEC notice filing (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (1/29/2026)

Regulatory assets under management

Total Number of Accounts2,191
AUM (Assets Under Management)$ 335,631,447

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.

Company Information

MID-AMERICAN WEALTH ADVISORY GROUP

CRD#: 301621Kansas City, MO 64153

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