Kathy A. Postoak

STRONGBOX WEALTH

Lee's Summit, MO 64064

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CRD#: 1855695

Professional summary

Kathy Ann Postoak, who also goes by Kathy Ann Brock, is a registered financial advisor currently at STRONGBOX WEALTH, LLC located in Lee's Summit, Missouri.

Kathy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Kathy has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kathy Ann Brock

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) STRONGBOX WEALTH. INVESTMENT RELATED BUSINESS. LOCATED AT 3470 ne RALPH POWELL RD, SUITE A, LEES SUMMIT, MO 64064. NATURE OF BUSINESS IS RIA. TITLE IS DIRECTOR OF OPS. STARTED 08/2019. 160 HRS/MO - 6.5 HRS/DAY DURING TRADING. DUTIES ARE CLIENT SERVICES & OPERATIONS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathy Ann Postoak'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

January 30, 2020 - Present

STRONGBOX WEALTH, LLC

Office #1: 3470 Ne Ralph Powell Road Suite A, Lee's Summit, MO 64064

RIA

CRD#: 304952

Lee's Summit, MO

Past

August 23, 2019 - July 29, 2022

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Lee's Summit, MO

Past

February 9, 2011 - August 29, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

LEES SUMMIT, MO

Past

January 1, 2008 - August 29, 2019

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

LEES SUMMIT, MO

Past

March 31, 1998 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

INDEPENDENCE, MO

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".

STRONGBOX WEALTH, LLC

STRONGBOX WEALTH | STRONGBOX WEALTH, LLC

CRD#: 304952 / SEC#: 801-117141

RIA

Registered Investment Advisory firm - (8/8/2019 Approved)

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

Missouri
(1/30/2020)

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 66

Date: 3/7/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/18/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/30/1998

General Securities Representative Examination

Current Firm

STRONGBOX WEALTH, LLC

STRONGBOX WEALTH | STRONGBOX WEALTH, LLC

CRD#: 304952 / SEC#: 801-117141

RIA

Registered Investment Advisory firm - (8/8/2019 Approved)

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Contact information

Main Address

3470 Ne Ralph Powell Road Suite A, Lee's Summit, MO 64064

Mailing Address

Phone number

(816) 607-5410

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (2/25/2025)

Regulatory assets under management

Total Number of Accounts	1,550
AUM (Assets Under Management)	$ 456,532,204

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Kathy A. Postoak

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathy Ann Postoak's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

STRONGBOX WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/7/2011

Series 63

Date: 5/18/1998

SIE

Date: 10/1/2018

Series 7

Date: 3/30/1998

Current Firm

STRONGBOX WEALTH, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STRONGBOX WEALTH, LLC

TRUST BUT VERIFY

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