Mark S. Falter

MID-AMERICAN WEALTH ADVISORY GROUP

Kansas City, MO 64153

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CRD#: 1387482

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.

1. PRESIDENT OF MID-AMERICAN WEALTH ADVISORY GROUP, WHICH OFFERS INSURANCE AND ANNUITY SALES AND TAX PREPARATION. ALSO AN INDEPENDENT INSURANCE AGENT CONDUCTING SALES OF FIXED, INDEXED AND LIFE INSURANCE. 2. SCRANTON ACADEMY FOR FINANCIAL EDUCATION-VOLUNTEER FOR FINANCIAL EDUCATION - INVESTMENT RELATED - NOT FOR PROFIT. 3. MID-AMERICAN AERIAL IMAGERY, LLC- OWNER OF DRONE FLIGHT COMPANY. NON - INVESTMENT RELATED. 4. MID-AMERICAN FARMS, LLC- OWNER OF SHARE CROPPING COMPANY. NON - INVESTMENT RELATED 5. MID-AMERICAN WEALTH ADVISORY SERVICES LLC. PRESIDENT OF INVESTMENT ADVISORY SERVICES FIRM. 6. MID-AMERICAN TAX - INVESTMENT RELATED. DBA USED FOR INVESTMENT ADVISORY SERVICES. 80 HOURS /MO.

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.

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.

CRD#: 30613

WESTON, MO

Past

October 31, 1996 - December 31, 1996

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

April 1, 1993 - December 31, 1995

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

Past

August 20, 1992 - December 31, 1992

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

Past

August 28, 1985 - October 14, 1991

PFS INVESTMENTS INC.

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".

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)

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.

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)

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

IAR

Series 65

Date: 3/30/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/5/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/16/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/27/1985

Investment Company Products/Variable Contracts Representative Examination

Current Firm

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)

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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

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (1/14/2025)

Regulatory assets under management

Total Number of Accounts	2,079
AUM (Assets Under Management)	$ 283,258,030

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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Advisor Monitoring

Firm Stability Insights

Mark S. Falter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Stephen Falter's CRS (Customer Relationship Summary).

Certified licenses

Experience

MID-AMERICAN WEALTH ADVISORY GROUP

SOUND INCOME STRATEGIES, LLC

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

EASTERN POINT ADVISORS INC.

INVESTORS CAPITAL CORP.

WALNUT STREET SECURITIES, INC.

PFS INVESTMENTS INC.

PFS INVESTMENTS INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

MID-AMERICAN WEALTH ADVISORY GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 3/30/2021

Series 63

Date: 8/5/1985

SIE

Date: 11/16/2015

Series 6

Date: 8/27/1985

Current Firm

MID-AMERICAN WEALTH ADVISORY GROUP

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MID-AMERICAN WEALTH ADVISORY GROUP

TRUST BUT VERIFY

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