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Curtis N. Calvert

N.I.S. FINANCIAL SERVICES
Kansas City, MO 64106
Some features on this profile are disabled
CRD#: 2415786
CC

Professional summary

Curtis Neil Calvert, who also goes by Curtis Neil Calvert, is a registered financial professional currently at N.I.S. FINANCIAL SERVICES, INC. located in Kansas City, Missouri.

Curtis is registered as a RR (Registered Representative) and started their career in finance in 2000. Curtis has worked at 12 firms and has passed the Series 82TO, Series 99TO, SIE, Series 27 and Series 28 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Curtis Neil Calvert

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.
Patten Training & Review, LLC. 8111 Ashlane Way, Spring, TX 77382. Investment-related. Nature of business is outsourced compliance consulting. Position is Compliance Director beginning 01/18/2022. Approximately 40 hours per month during trading hours.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Curtis Neil Calvert'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

July 30, 2025 - Present

N.I.S. FINANCIAL SERVICES, INC.

Office #1: 500 East 9th St., Kansas City, MO 64106
BD
CRD#: 5361
Kansas City, MO
Past

July 29, 2024 - August 4, 2025

PARK PLACE CAPITAL SECURITIES CORP.

BD
CRD#: 326891
HOMEWOOD, AL
Past

August 1, 2023 - January 2, 2025

REDBRIDGE GLOBAL MARKETS, LLC

BD
CRD#: 319550
HOUSTON, TX
Past

April 27, 2023 - October 9, 2023

TCM BD, LLC

BD
CRD#: 317259
THE WOODLANDS, TX
Past

January 12, 2023 - August 5, 2025

WESTCAP MARKETS, LLC

BD
CRD#: 318970
RYE BEACH, NH
Past

May 27, 2022 - December 2, 2022

JSL SECURITIES, INC.

BD
CRD#: 140116
OVERLAND PARK, KS
Past

April 8, 2022 - July 21, 2025

LOCKTON INVESTMENT ADVISORS, LLC

RIA
CRD#: 144133
KANSAS CITY, MO
Past

April 8, 2022 - July 21, 2025

LOCKTON INVESTMENT SECURITIES, LLC

BD
CRD#: 137476
KANSAS CITY, MO
Past

September 2, 2016 - April 30, 2021

IVY DISTRIBUTORS, INC.

BD
CRD#: 16496
OVERLAND PARK, KS
Past

September 26, 2013 - August 23, 2021

WADDELL & REED

RIA
CRD#: 866
OVERLAND PARK, KS
Past

September 26, 2013 - August 23, 2021

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

May 12, 2011 - September 18, 2013

VSR FINANCIAL SERVICES, INC.

RIA
CRD#: 14503
OVERLAND PARK, KS
Past

June 15, 2010 - September 18, 2013

VSR FINANCIAL SERVICES, INC.

BD
CRD#: 14503
OVERLAND PARK, KS
Past

September 8, 2000 - October 30, 2000

MIDWEST CAPITAL MANAGEMENT INC.

BD
CRD#: 39880
OVERLAND PARK, KS

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.

Exams

General Industry/Product Exam
RR
Series 82TO
Date: 7/30/2025
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 8/28/2000
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 28
Date: 8/25/2000
Introducing Broker/Dealer Financial Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NF
N.I.S. FINANCIAL SERVICES, INC.
I.C.H. FINANCIAL SERVICES, INC. | N.I.S. FINANCIAL SERVICES, INC.

CRD#: 5361 / SEC#: , 8-15919

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
500 East 9th St., Kansas City, MO 64106
Mailing Address
P. O. Box 219103, Kansas City, MO 64121-9103
Phone number
(816) 842-8685
Established
Missouri since 02/04/1970
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (30 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AMERICO FINANCIAL LIFE AND ANNUITY INSURANCE COMPANYPARENT OF BROKER/DEALER
BURKHOLDER, JONATHAN BCEO & DIRECTOR5841348
MELTON, DAVID RAYSECRETARY & DIRECTOR2912115
SALYER, MICHELLE RENEEPRESIDENT CCO AND DIRECTOR1413146

Disclosures

Regulatory Event3

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

N.I.S. FINANCIAL SERVICES, INC.

CRD#: 5361Kansas City, MO 64106

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