Heather R. Sullivan

MIDWEST FINANCIAL GROUP LLC

Overland Park, KS 66213

Some features on this profile are disabled

CRD#: 6062313

Professional summary

Heather Renee Sullivan, CFP®, who also goes by Heather Renee Smith, is a registered financial advisor currently at MIDWEST FINANCIAL GROUP LLC located in Overland Park, Kansas.

Heather is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Heather has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Heather Renee Smith

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.) OWNER OF MINDFUL WEALTH, LLC, WHICH IS A NON INVESTMENT RELATED TAX ENTITY ORGANIZED IN 2023 (MAILING ADDRESS: 7400 W 130TH STREET, SUITE 100, OVERLAND PARK, KS 66213). 2.) SELF EMPLOYED AS INDEPENDENT INSURANCE AGENT SINCE 2016 PROVIDING NON-INVESTMENT RELATED INSURANCE PRODUCTS AND SERVICES AS NEEDED DURING REGULAR BUSINESS HOURS. (MAILING ADDRESS: 7400 W 130th Street, OVERLAND PARK, KS, 66213)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Heather Renee Sullivan'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®

CFP^®

Certified Financial Planner

Start date: 2022

Experience

Current

May 11, 2015 - Present

MIDWEST FINANCIAL GROUP LLC

Office #1: 7400 W 130th Street, Suite 100, Overland Park, KS 66213

RIA

CRD#: 175288

Overland Park, KS

Past

February 25, 2015 - May 11, 2015

VSR FINANCIAL SERVICES, INC.

RIA

CRD#: 14503

OVERLAND PARK, KS

Past

July 9, 2014 - May 11, 2015

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

OVERLAND PARK, KS

Past

March 7, 2014 - June 19, 2014

CFD INVESTMENTS, INC.

CRD#: 25427

LENEXA, KS

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".

MIDWEST FINANCIAL GROUP LLC

ALPHA ASSET MANAGEMENT | MS FINANCIAL RESOURCES | MIDWEST FINANCIAL PARTNERS | MIDWEST FINANCIAL GROUP LLC | FRESH FINANCIAL PLANNING

CRD#: 175288 / SEC#: 801-81177

RIA

Registered Investment Advisory firm - (3/27/2015 Approved)

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
(5/11/2015)

IAR

Texas
(1/3/2022)

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 66

Date: 2/23/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 5/11/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/6/2014

General Securities Representative Examination

Current Firm

MIDWEST FINANCIAL GROUP LLC

ALPHA ASSET MANAGEMENT | MS FINANCIAL RESOURCES | MIDWEST FINANCIAL PARTNERS | MIDWEST FINANCIAL GROUP LLC | FRESH FINANCIAL PLANNING

CRD#: 175288 / SEC#: 801-81177

RIA

Registered Investment Advisory firm - (3/27/2015 Approved)

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

7400 W 130th Street, Suite 100, Overland Park, KS 66213

Mailing Address

Phone number

(913) 696-0041

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MFG ADV PART 2A (2/7/2025)

MFG ADV PART 2A APPENDIX (2/7/2025)

Regulatory assets under management

Total Number of Accounts	2,328
AUM (Assets Under Management)	$ 477,818,932

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

Subhrajit Goon

AIMCDONNAUGH & CO. INC.

IAR

Berkeley heights, NJ

Stephen Johnson

GREAT BAY WEALTH MANAGEMENT

IAR

Roswell, GA

John Israel

STRATEGIC ADVISERS LLC

IAR

SAN RAMON, CA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Heather R. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Heather Renee Sullivan's CRS (Customer Relationship Summary).

Certified licenses

Experience

MIDWEST FINANCIAL GROUP LLC

VSR FINANCIAL SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

CFD INVESTMENTS, INC.

Primary Firm SEC Registration

MIDWEST FINANCIAL GROUP LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/23/2015

SIE

Date: 5/11/2015

Series 7

Date: 3/6/2014

Current Firm

MIDWEST FINANCIAL GROUP LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MIDWEST FINANCIAL GROUP LLC

TRUST BUT VERIFY

Similar Advisors