Mark J. Halpin

UNITED CAPITAL MANAGEMENT OF KANSAS

Gardner, KS 66030

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CRD#: 2763503

Professional summary

Mark Joseph Halpin is a registered financial advisor currently at UNITED CAPITAL MANAGEMENT OF KANSAS, INC. located in Gardner, Kansas.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Mark has worked at 9 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 6 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.

1) MJH Insurance & Financial Services, Inc. Nature of Business: Independent Insurance Agency Investment Related: Non-Investment Related Title: President Duties: President Start Date: 03/25/1999 Hours Devoted to Business: 50 Hours Devoted to Business during Market Hours: 8 2)United Capital Trust Inc Nature of Business: Trust Relationship management services Investment Related: Non-Investment Related Title: Trust Relationship Manager for National Advisors Trust Company, FSB Duties: Trust Relationship Manager Start Date: 05/21/2019 Approximate Hours Devoted to Business: 1 Approximate Hours Devoted to Business during Market Hours: 1 3)United Capital Management of Kansas Inc - Brokerage Nature of Business: Investment Investment Related: Yes Title: Financial Advisor Duties: Registered Representative Start Date: 05/21/2019 Hours Devoted to Business: 10 Hours Devoted to Business during Market Hours: 3 4) United Capital Insurance 104 E Iron Ave Salina, KS 67401 Nature of Business: Insurance Agency Investment Related: Non-Investment Related Title: Agent Duties: Agent Start Date: 05/21/2019 Approximate Hours Devoted to Business: 4 Approximate Hours Devoted to Business during Market Hours: 1

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Joseph Halpin'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

May 21, 2019 - Present

UNITED CAPITAL MANAGEMENT OF KANSAS, INC.

Office #1: 345 N. Moonlight Road, Gardner, KS 66030

CRD#: 14869

LINCOLN, NE

Past

December 1, 1997 - May 13, 1999

BMA FINANCIAL SERVICES, INC.

CRD#: 7943

KANSAS CITY, MO

Past

July 3, 1996 - November 5, 1997

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

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".

UNITED CAPITAL MANAGEMENT OF KANSAS, INC.

CRD#: 157755 / SEC#: 801-80159

RIA

Registered Investment Advisory firm - (8/11/2014 Approved)

Kansas

Registered Investment Advisory firm - (8/15/2014 Terminated)

Texas

Registered Investment Advisory firm - (8/15/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Kansas
(5/21/2019)

IAR

Texas
(1/5/2021)

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: 6/1/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/5/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/2/1996

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: 1/18/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/2/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

UNITED CAPITAL MANAGEMENT OF KANSAS, INC.

CRD#: 157755 / SEC#: 801-80159

RIA

Registered Investment Advisory firm - (8/11/2014 Approved)

Kansas

Registered Investment Advisory firm - (8/15/2014 Terminated)

Texas

Registered Investment Advisory firm - (8/15/2014 Terminated)

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Contact information

Main Address

227 North Santa Fe, Salina, KS 67401

Mailing Address

Phone number

(785) 823-7900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UNITED CAPITAL MANAGEMENT OF KANSAS, INC. ADV PART 2A (9/25/2025)

Regulatory assets under management

Total Number of Accounts	2,837
AUM (Assets Under Management)	$ 669,663,839

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.

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Firm Stability Insights

Mark J. Halpin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Joseph Halpin's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONEX SECURITIES INC.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

SIGNATOR FINANCIAL SERVICES, INC.

SIGNATOR FINANCIAL SERVICES, INC.

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

AMERITAS INVESTMENT COMPANY, LLC

BMA FINANCIAL SERVICES, INC.

MUTUAL SERVICE CORPORATION

Primary Firm SEC Registration

UNITED CAPITAL MANAGEMENT OF KANSAS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/1/2023

Series 66

Date: 9/5/2003

Series 63

Date: 7/2/1996

SIE

Date: 10/1/2018

Series 7

Date: 1/18/2001

Series 6

Date: 7/2/1996

Current Firm

UNITED CAPITAL MANAGEMENT OF KANSAS, INC.

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

UNITED CAPITAL MANAGEMENT OF KANSAS, INC.

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