Gerald C. Steffes

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CRD#: 2021161

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Gerald Clair Steffes, AIF®, CFP® was a registered financial professional .

Gerald is a previously registered financial professional and started their career in finance in 1990. Gerald had worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

What are your service offerings?

Retirement Planning

Tax Planning

Investment Planning

Are you a "fiduciary"?

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)INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 2)JOHNSON COUNTY COMMUNITY COLLEGE, BEGAN 1/1/94 AS A TEACHER, DEVOTING 3 HRS/YR. 3)CPA ACCOUNTING, TAX PREP. 4)KANSAS SOCIETY OF CPA'S (NON-INVESTMENT RELATED), BOX 4291, TOPEKA, KS 66604; NATURE OF BUSINESS: NON-PROFIT BUSINESS SOCIETY; POSITION: ON BOARD OF DIRECTORS: DATES: 1/01-PRESENT; HOURS: 1% OF TIME, NOT DURING SECURITIES TRADING HOURS; DUTIES: BOARD MEMBER WHO CANNOT ACT ON BEHALF OF KSCPA WITHOUT PERMISSION OF OTHER BOARD MEMBERS. 5)S&S BUSINESS PROPERTIES, LLC, 8655 COLLEGE, OVERLAND PARK, KS 66210. BEGAN 8/12/06 RENTING REAL ESTATE EXECUTIVE SUITES. DEVOTES 3 HRS/WK -.5 HOURS DURING TRADING. 6)KANSAS SOC OF CPA'S METRO CHAPTER,8655 COLLEGE, OVERLAND PK,KS 66210;NON-INV; START:8/1/07 POS:PRES DEVOTING 10 HRS/YRLY 5 DUR TRADE HRS. 7)STEFFES FINANCIAL PROFIT SHARING 401(K) PLAN 8655 COLLEGE OVERLAND PARK, KS 66210. BEGAN 01/01/2002 AS TRUSTEE. NOT INVESTMENT RELATED. DEVOTES 2 HRS/YR. 2 HRS DURING TRADING. 8) HEART OF AMERICA DIABETES RESEARCH FOUNDATION, LEAWOOD, KS. BEGAN 12/3/14 AS SECRETARY. SECRETARY AND BOARD MEMBER OF FOUNDATION WHO CANNOT ACT ON BEHALF OF THE FOUNDATION WITHOUT PERMISSION OF THE OTHER BOARD MEMBERS. NO ACCESS TO CASH OR FOUNDATION ASSETS. NO CHECK WRITING CAPABILITIES. 2 HRS/YEAR, NONE DURING TRADING. NON-PROFIT

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 1989

Experience

Past

April 15, 2005 - January 14, 2025

STEFFES FINANCIAL, LTD

RIA

CRD#: 134530

OVERLAND PARK, KS

Past

January 3, 2000 - August 5, 2005

S&A FINANCIAL SERVICES, INC.

RIA

CRD#: 110471

MERRIAM, KS

Past

August 4, 1997 - January 13, 2021

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

OVERLAND PARK, KS

Past

January 26, 1990 - August 18, 1997

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

January 26, 1990 - September 2, 1997

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

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".

STEFFES FINANCIAL, LTD

CRD#: 134530 / SEC#: 801-64179

RIA

Registered Investment Advisory firm - (4/15/2005 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 6/13/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/20/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/20/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/15/1998

General Securities Principal Examination

Current Firm

STEFFES FINANCIAL, LTD

CRD#: 134530 / SEC#: 801-64179

RIA

Registered Investment Advisory firm - (4/15/2005 Approved)

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Contact information

Main Address

8655 College Blvd Suite 101, Overland Park, KS 66210

Mailing Address

Phone number

(913) 722-1111

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STEFFES FINANCIAL, LTD. FORM ADV PART 2A FIRM BROCHURE (1/14/2025)

Regulatory assets under management

Total Number of Accounts	653
AUM (Assets Under Management)	$ 537,120,594

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Gerald C. Steffes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

S&A FINANCIAL SERVICES, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

Primary Firm SEC Registration

STEFFES FINANCIAL, LTD

State Registrations and Notice Filings

Exams

Series 65

Date: 6/13/1995

Series 63

Date: 2/20/1990

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/20/1990

Series 24

Date: 9/15/1998

Current Firm

STEFFES FINANCIAL, LTD

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STEFFES FINANCIAL, LTD

TRUST BUT VERIFY

Contact information

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