Michael L. Kappes
Professional summary
Michael Ludwig Kappes, who also goes by Michael L Kappes, Mike Kappes, is a registered financial advisor currently at NEXT STEPS ADVISORS, INC. located in Bellevue, Washington.
Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Michael has worked at 10 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Michael Ludwig Kappes's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 30, 2019 - Present
NEXT STEPS ADVISORS, INC.
Office #1: 14205 Se 36th Street Suite 100, Bellevue, WA 98006May 23, 2014 - September 30, 2019
KMS FINANCIAL SERVICES, INC.
January 21, 2008 - June 2, 2014
STANCORP INVESTMENT ADVISERS, INC.
September 20, 2007 - September 21, 2010
STANCORP EQUITIES, INC.
November 4, 2004 - August 23, 2006
OSAIC WEALTH, INC.
November 25, 2002 - November 21, 2003
TD AMERITRADE, INC.
November 30, 2000 - November 15, 2002
CHARLES SCHWAB & CO., INC.
October 21, 1999 - November 2, 2000
STEPHENS
September 3, 1996 - November 22, 1999
INVESTACORP, INC.
September 17, 1993 - September 19, 1996
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(9/30/2019)
Exams
Current Firm
NEXT STEPS ADVISORS, INC.
CRD#: 301389 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 85 |
| AUM (Assets Under Management) | $ 39,000,000 |
Red Flags
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