KN
Kipp A. Noe
SMITH, MOORE & CO.
OVERLAND PARK, KS 66210
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CRD#: 1796099
KN
Professional summary
Kipp Alan Noe is a registered financial advisor currently at SMITH, MOORE & CO. located in Overland Park, Kansas.
Kipp is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Kipp has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 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.
CRS (Client Relationship Summary) - RIA
Click below to view Kipp Alan Noe's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kipp Alan Noe'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
August 26, 2016 - Present
SMITH, MOORE & CO.
Office #1: 40 Corporate Woods 9401 Indian Creek Parkway Suite 1050, Overland Park, KS 66210RIA
BD
CRD#: 3441
OVERLAND PARK, KS
Current
August 26, 2016 - Present
SMITH, MOORE & CO.
Office #1: 40 Corporate Woods 9401 Indian Creek Parkway Suite 1050, Overland Park, KS 66210RIA
BD
CRD#: 3441
OVERLAND PARK, KS
Past
May 1, 2006 - August 29, 2016
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
LAWRENCE, KS
Past
December 1, 2001 - August 29, 2016
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
LAWRENCE, KS
Past
January 3, 2000 - December 1, 2001
FIRSTAR INVESTMENT SERVICES,INC.
BD
CRD#: 14536
MORRIS PLAINS, NJ
Past
January 8, 1999 - January 3, 2000
MERCANTILE INVESTMENT SERVICES, INC.
BD
CRD#: 19908
ST. LOUIS, MO
Past
April 21, 1998 - December 11, 1998
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
November 27, 1989 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
November 27, 1989 - May 1, 1998
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
March 22, 1988 - August 9, 1989
FIRST AMERICAN SERVICES DIVISION INC.
BD
CRD#: 17968
TOPEKA, KS
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".
SMITH, MOORE & CO.
SMITH MOORE & CO. | THE SEVENS ADVISORY GROUP | SMITH, MOORE & CO.
CRD#: 3441 / SEC#: 801-68175, 8-27480
RIA
Registered Investment Advisory firm - SEC (8/8/2007 Approved)Mississippi
Registered Investment Advisory firm - SEC (5/1/2025 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.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
Alabama(4/11/2025)
RR
Colorado(8/26/2016)
RR
Kansas(8/26/2016)
IAR
Kansas(8/26/2016)
RR
Missouri(8/26/2016)
RR
Nebraska(4/22/2025)
RR
Texas(8/26/2016)
RR
Virginia(8/26/2016)
RR
Wisconsin(6/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SMITH, MOORE & CO.
SMITH MOORE & CO. | THE SEVENS ADVISORY GROUP | SMITH, MOORE & CO.
CRD#: 3441 / SEC#: 801-68175, 8-27480
RIA
Registered Investment Advisory firm - SEC (8/8/2007 Approved)Mississippi
Registered Investment Advisory firm - SEC (5/1/2025 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
7777 Bonhomme Ave., Suite 2400 Suite 2400, Clayton, MO 63105
Mailing Address
7777 Bonhomme Ave., Suite 2400, Clayton, MO 63105
Phone number
(314) 727-5225
Established
Missouri since 12/23/1981
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
65
SEC notice filing (36 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DEUTSCH, STEWART JAMES JR | PRESIDENT, CHIEF EXECTIVE OFFICER, DIRECTOR | 2537447 |
| SCHULTE, TIMOTHY EUGENE | CHAIRMAN OF THE BOARD, DIRECTOR | 1869986 |
| RHYNER, RANDALL PAUL | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2443274 |
| SCHMIDT, KENT CHARLES | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2153325 |
| BRAGG, MATTHEW EDWARD | EXECUTIVE VICE PRESIDENT, SECRETARY, DIRECTOR | 2279799 |
| BRODY, AMY LYNN | CHIEF FINANCIAL OFFICER, FINOP | 6486826 |
| KRAFT, BARBARA ANN | CHIEF OPERATING OFFICER | 1225082 |
| MORAN, DANIEL PATRICK | CHIEF TECHNOLOGY OFFICER | 2685632 |
| PERRYMAN, JARET DALIN | CHIEF COMPLIANCE OFFICER | 3034594 |
Regulatory assets under management
| Total Number of Accounts | 5,353 |
| AUM (Assets Under Management) | $ 2,008,286,156 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
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
SMITH, MOORE & CO.
CRD#: 3441Overland Park, KS 66210TRUST BUT VERIFY
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