EA
Edwin A. Alft
SECURITIES MANAGEMENT & RESEARCH
Kansas City, KS 66112
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CRD#: 1773831
EA
Professional summary
Edwin Allan Alft, who also goes by Ed A Alft, is a registered financial professional currently at SECURITIES MANAGEMENT & RESEARCH, INC. located in Kansas City, Kansas.
Edwin is registered as a RR (Registered Representative) and started their career in finance in 1987. Edwin has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ed A Alft
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.
CRS (Client Relationship Summary) - BD
Click below to view Edwin Allan Alft's 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®
NoneExperience
Current
September 22, 2003 - Present
SECURITIES MANAGEMENT & RESEARCH, INC.
Office #1: 7835 Parallel Pkwy, Kansas City, KS 66112BD
CRD#: 759
Kansas City, KS
Past
December 8, 1987 - June 30, 2003
FBL MARKETING SERVICES, LLC
BD
CRD#: 5309
WEST DES MOINES, IA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Kansas(9/22/2003)
RR
Missouri(9/22/2003)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SM
SECURITIES MANAGEMENT & RESEARCH, INC.
SECURITIES MANAGEMENT & RESEARCH, INC. | SOUTH SHORE ADVISORS, INC. | SM&R | SECURITIES MANAGEMENT AND RESEARCH, INC. ("SM&R") | SECURITIES MANAGEMENT AND RESEARCH, INC.
CRD#: 759 / SEC#: 801-8002, 8-12745
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402
Mailing Address
4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402
Phone number
(855) 767-5700
Established
Florida since 12/15/1964
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ONE FINANCIAL, INC. | PARENT | |
| BERTHEL, THOMAS JOSEPH | CHAIRMAN OF BOARD/EXECUTIVE VICE PRESIDENT | 823289 |
| CHAPMAN, KIMBERLY KAREN EARLY | CHIEF COMPLIANCE OFFICER | 2527036 |
| CHRISTOFFERSON, ANDREW JAMES | CHIEF EXECUTIVE OFFICER/PRESIDENT | 3248381 |
| DAVENPORT, SHELLEY RAE | VICE PRESIDENT LEGAL & REGULATORY MATTERS | 2131376 |
| HOHN, JAMES RALPH | VICE PRESIDENT/TECHNOLOGY | 5413776 |
| MURPHY, RICHARD MAURICE | EXECUTIVE VICE PRESIDENT | 4893748 |
| NOETHEN, BRITTANY MICHELLE | CHIEF TECHNOLOGY OFFICER | 2610543 |
| RUPP, BRIAN MICHAEL | CHIEF FINANCIAL OFFICER/TREASURER | 6721718 |
| SCHAUL, JOANNA MARIE | CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 4947759 |
| WILCOX, RANDY AUSTIN | VICE PRESIDENT COMPLIANCE/OSJ MANAGER | 4346998 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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Company Information
SECURITIES MANAGEMENT & RESEARCH, INC.
CRD#: 759Kansas City, KS 66112TRUST BUT VERIFY
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