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Sally A. Nelson

CENTRAL STATES CAPITAL MARKETS
Wichita, KS 67202
Some features on this profile are disabled
CRD#: 6954877
SN

Professional summary

Sally Ann Nelson is a registered financial professional currently at CENTRAL STATES CAPITAL MARKETS, LLC located in Wichita, Kansas.

Sally is registered as a RR (Registered Representative) and started their career in finance in 2018. Sally has worked at 1 firm and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sally Ann Nelson'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

July 27, 2018 - Present

CENTRAL STATES CAPITAL MARKETS, LLC

Office #1: 245 N. Waco St Ste 525, Wichita, KS 67202
RIA
BD
CRD#: 155291
Wichita, 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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 7/27/2018
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CENTRAL STATES CAPITAL MARKETS, LLC
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)
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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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
4

FINRA licenses (27 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CLASSEN, MARK KMEMBER6886821
CENTRAL STATES FINANCIAL SERVICES, LLCHOLDING COMPANY; MEMBER
YOUNG, ROBERT MORRIS JRCHAIRMAN & CCO501297
ADDISON, LAURIE ANNECHIEF FINANCIAL OFFICER & FINOP7488882
HORTON, MICHAEL ALANDIRECTOR, BRANCH MANAGER1041106
STEPP, JOHN DANIELMANAGING DIRECTOR, CEO; ELECTED MANAGER501417

Regulatory assets under management

Total Number of Accounts38
AUM (Assets Under Management)$ 27,936,117

Disclosures

Regulatory Event6
Criminal3

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

CENTRAL STATES CAPITAL MARKETS, LLC

CRD#: 155291Wichita, KS 67202

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