Stephen J. Small

ASPEN WEALTH MANAGEMENT

Overland Park, KS 66210

Some features on this profile are disabled

CRD#: 5400331

Professional summary

Stephen James Small is a registered financial advisor currently at ASPEN WEALTH MANAGEMENT, INC. located in Overland Park, Kansas.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Stephen has worked at 1 firm and has passed the Series 65 exam.

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.

SWIFT INVESTMENTS, LLC; IS INVESTMENT-RELATED; 432 Granite Drive, RAYMORE, MO 64083; PERSONAL/FAMILY INVESTING; MANAGING MEMBER; 01/2005 INCORPORATED; 4 HRS/MONTH; ALL OUTSIDE NORMAL SECURITY TRADING HOURS; DUTIES ARE TO SEARCH FOR AND EVALUATE INVESTMENT OPPORTUNITIES AND OVERSEE TAX RETURN PREPARATION.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen James Small's 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

September 6, 2007 - Present

ASPEN WEALTH MANAGEMENT, INC.

Office #1: 9300 W. 110th Street Suite 680, Overland Park, KS 66210

RIA

CRD#: 116061

Overland Park, KS

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
(9/6/2007)

IAR

Missouri
(8/31/2017)

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: 9/5/2007

Uniform Investment Adviser Law Examination

Current Firm

ASPEN WEALTH MANAGEMENT, INC.

ASPEN ADVISORS, INC. | ASPEN WEALTH MANAGEMENT, INC.

CRD#: 116061 / SEC#: 801-62136

RIA

Registered Investment Advisory firm - (3/16/2015 Terminated)

Kansas

Registered Investment Advisory firm - (3/16/2015 Approved)

Missouri

Registered Investment Advisory firm - (8/28/2017 Approved)

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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

9300 W. 110th Street Suite 680, Overland Park, KS 66210

Mailing Address

Phone number

(913) 491-0500

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	304
AUM (Assets Under Management)	$ 79,457,564

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.

Similar Advisors

Lea Smith Johnson

OSAIC WEALTH, INC.

IAR

Bradenton, FL

Jeffrey Kropp

OSAIC WEALTH, INC.

IAR

Chadds Ford, PA

Harlan Fischer

CETERA INVESTMENT ADVISERS LLC

IAR

SETAUKET, NY

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Stephen J. Small

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen James Small's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASPEN WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/5/2007

Current Firm

ASPEN WEALTH MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ASPEN WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

Similar Advisors