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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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Heather Renee Sullivan

Heather R. Sullivan

MIDWEST FINANCIAL GROUP
Overland Park, KS 66213
Some features on this profile are disabled
CRD#: 6062313
Heather Renee Sullivan

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.
The advisor shows no other business activity.

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.

BD
CRD#: 14503
OVERLAND PARK, KS
Past

March 7, 2014 - June 19, 2014

CFD INVESTMENTS, INC.

BD
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".
MF
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)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/23/2015
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/11/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/6/2014
General Securities Representative Examination

Current Firm

MF
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)
PREMIUM
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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
8

SEC notice filing (11 States and Territories)

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

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 Accounts2,328
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.

Company Information

MIDWEST FINANCIAL GROUP LLC

CRD#: 175288Overland Park, KS 66213

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