Glenn C. Rappard

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CRD#: 848880

Professional summary

Being a previously registered professional could mean that this person 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.

Glenn Calvin Rappard, who also goes by Glenn C Rappard, was a registered financial advisor .

Glenn is a previously registered financial advisor and started their career in finance in 1978. Glenn had worked at 8 firms and has passed the Series 63, Series 7 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Glenn C Rappard

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)

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

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

Past

August 13, 2012 - May 12, 2014

FWM LEGACY, LLC

RIA

CRD#: 144344

WICHITA, KS

Past

April 15, 2005 - June 28, 2012

DIMENSIONS FINANCIAL GROUP

RIA

CRD#: 107686

WICHITA, KS

Past

April 13, 1994 - March 13, 2013

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

WICHITA, KS

Past

September 18, 1992 - December 12, 2005

DIMENSIONS-FINANCIAL CONSULTANTS, INC.

RIA

CRD#: 115930

WICHITA, KS

Past

March 18, 1992 - March 9, 1994

PRIMELINE SECURITIES CORP.

CRD#: 15896

WICHITA, KS

Past

January 2, 1992 - March 4, 1992

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

March 31, 1989 - March 22, 1991

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

March 20, 1984 - March 31, 1989

LOWRY FINANCIAL SERVICES CORPORATION

CRD#: 7291

NORTH PALM BEACH, FL

Past

February 15, 1978 - August 25, 1987

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

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

State Security Law Exam

Series 63

Date: 9/25/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/14/1985

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 2/7/1978

Registered Representative Examination

Current Firm

FWM LEGACY, LLC

FRONTIER WEALTH MANAGEMENT, LLC | FWM LEGACY, LLC

CRD#: 144344 / SEC#: 802-127130

RIA

Registered Investment Advisory firm - (10/21/2022 Terminated)

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).

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Contact information

Main Address

4200 W. 115th Street Suite 210, Leawood, KS 66211

Mailing Address

Phone number

(816) 753-5100

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - FIRM BROCHURE (3/31/2022)

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/18/2022	Cover Page	Report
08/18/2022	Cover Page	Report
04/11/2022	Cover Page	Report

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
SEC	ERA - Active	12/5/2022

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.

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Glenn C. Rappard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DIMENSIONS FINANCIAL GROUP

THE O.N. EQUITY SALES COMPANY

DIMENSIONS-FINANCIAL CONSULTANTS, INC.

PRIMELINE SECURITIES CORP.

VOYA FINANCIAL ADVISORS, INC.

MUTUAL SERVICE CORPORATION

LOWRY FINANCIAL SERVICES CORPORATION

VOYA FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/25/1985

Series 7

Date: 12/14/1985

Series 1

Date: 2/7/1978

Current Firm

FWM LEGACY, LLC

Contact information

Documents

Part 2 Brochures

Accountant surprise examination report

Exempt reporting advisers

Red Flags

Company Information

FWM LEGACY, LLC

TRUST BUT VERIFY

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