Stephen J. Freidell

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CRD#: 5194129

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.

Stephen Jay Freidell was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 2006. Stephen had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

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.

Eagle Nest Estate and the business takes place at his home. It is not Investment related. Mr. Freidell's position is Owner. The nature of the business is farming of natural prairie grass in addition to selling personal items he has collected over his lifetime; such as antiques, tools, and various odds and ends. The amount of time spent on this business is 5 hours monthly. EchoGong, LLC in Hays, KS. Non investment related. Managing Member. Company manufactures, design, and sells accoustical shooting gongs. Spends approx 12hrs a month.

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®

None

Experience

Past

April 18, 2016 - May 6, 2025

CENTRAL STATES CAPITAL MARKETS, LLC

RIA

CRD#: 155291

PRAIRIE VILLAGE, KS

Past

November 21, 2011 - May 6, 2025

CENTRAL STATES CAPITAL MARKETS, LLC

CRD#: 155291

PRAIRIE VILLAGE, KS

Past

September 1, 2011 - September 11, 2015

CENTRAL STATES CAPITAL MARKETS, LLC

RIA

CRD#: 155291

PRAIRIE VILLAGE, KS

Past

January 3, 2008 - November 18, 2011

COMMERCE WEALTH ADVISERS, LLC

RIA

CRD#: 144449

KANSAS CITY, MO

Past

January 2, 2008 - November 18, 2011

DEWAAY FINANCIAL NETWORK, LLC

CRD#: 30767

KANSAS CITY, MO

Past

August 17, 2006 - January 2, 2008

M&I FINANCIAL ADVISORS, INC

CRD#: 16517

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

State Security Law Exam

IAR

Series 66

Date: 9/5/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/16/2006

General Securities Representative Examination

Current Firm

CENTRAL STATES CAPITAL MARKETS, LLC

CRD#: 155291 / SEC#: 801-79295, 8-68711

RIA

Registered Investment Advisory firm - SEC (1/3/2017 Terminated)

Iowa

Registered Investment Advisory firm - SEC (1/23/2018 Approved)

Kansas

Registered Investment Advisory firm - SEC (10/12/2016 Approved)

Missouri

Registered Investment Advisory firm - SEC (12/29/2016 Approved)

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

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).

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Contact information

Main Address

4200 W 83rd Street Suite 101, Prairie Village, KS 66208

Mailing Address

4200 W 83rd Street Suite 101, Prairie Village, KS 66208

Phone number

(913) 766-6565

Established

Kansas since 08/31/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (27 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
CLASSEN, MARK K	MEMBER	6886821
CENTRAL STATES FINANCIAL SERVICES, LLC	HOLDING COMPANY; MEMBER
YOUNG, ROBERT MORRIS JR	CHAIRMAN & CCO	501297
ADDISON, LAURIE ANNE	CHIEF FINANCIAL OFFICER & FINOP	7488882
HORTON, MICHAEL ALAN	DIRECTOR, BRANCH MANAGER	1041106
STEPP, JOHN DANIEL	MANAGING DIRECTOR, CEO; ELECTED MANAGER	501417

Regulatory assets under management

Total Number of Accounts	38
AUM (Assets Under Management)	$ 27,936,117

Disclosures

Regulatory Event	6
Criminal	3

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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Stephen J. Freidell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CENTRAL STATES CAPITAL MARKETS, LLC

CENTRAL STATES CAPITAL MARKETS, LLC

CENTRAL STATES CAPITAL MARKETS, LLC

COMMERCE WEALTH ADVISERS, LLC

DEWAAY FINANCIAL NETWORK, LLC

M&I FINANCIAL ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/5/2006

SIE

Date: 10/1/2018

Series 7

Date: 8/16/2006

Current Firm

CENTRAL STATES CAPITAL MARKETS, LLC

Contact information

FINRA licenses (27 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CENTRAL STATES CAPITAL MARKETS, LLC

TRUST BUT VERIFY

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