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Frank Kieffer Voss

CRD# 733368·Registered 1981 - 2015
Previously Registered: Being a previously registered professional could mean that Frank 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.

Professional Summary

Frank Kieffer Voss, who also goes by Kieffer Voss, was a registered financial advisor. Frank was a previously registered financial professional and started their career in finance 1981 - 2015. Frank had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 8, Series 53, Series 24 and F04 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Kieffer Voss

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

45 years in the financial services industry

Current & Past Employments

GEORGE K. BAUM & COMPANY·CRD# 36354
BD
Denver, CO
May 31, 1994 - December 31, 2015
GKB, INC.·CRD# 350
BD
Kansas City, MO
April 10, 1990 - May 31, 1994
KIRCHNER, MOORE & CO. OF KANSAS, INC.·CRD# 14218
BD
January 17, 1984 - September 13, 1985
DBLKM INC.·CRD# 2450
BD
May 29, 1981 - October 29, 1990

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Current Firm

GK
GEORGE K. BAUM & COMPANY

GEORGE K. BAUM & COMPANY | GKB ACQUISITION CO.

CRD#: 36354 / SEC#: 8-47195
BD
Terminated by SEC on 12/31/2019

Contact Information

Established

Missouri since 12/16/1993

Firm Type

Corporation

Fiscal Year End

October

Documents

Direct owners and executive officers

NamePositionCRD#
GEORGE K. BAUM HOLDINGS, INC.PARENT—
BAUM, JONATHAN EDWARDDIRECTOR/CEO/PRESIDENT1492485
BJORNSON, DANA LLOYDDIRECTOR/CFO/CCO3112986
QUATROCHI, NICHOLAS JOSEPHDIRECTOR/EVP/CHISO/CIO/FINOP2463410

Disclosures

Regulatory Event

3

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1984About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Dec 2015About the SIE exam

Series 7 — General Securities Representative Examination

Passed Sep 1983About the Series 7 exam

Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)

Passed Oct 1990

Series 53 — Municipal Securities Principal Examination

Passed Oct 1985About the Series 53 exam

Series 24 — General Securities Principal Examination

Passed Sep 1983About the Series 24 exam

F04 — Financial Principal Examination

Passed May 1981

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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