Individual Firm
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CHARLES M. KASPER
CRD#: 4998636
IA
B
MODERN WEALTH MANAGEMENT, LLCCRD#: 324624 211A NW Executive Way
Lees Summit, MO 64063
Lees Summit, MO 64063
0
Disclosures
18
Years of Experience
View By:
State Registrations
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Kansas 4/26/2023
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Missouri 5/11/2023
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Registered with this firm since 4/26/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/03/2016 - 12/31/2024 | Lee's Summit, MO | |
IA | 08/18/2016 - 12/07/2023 | Lees Summit, MO | |
IA | 01/23/2013 - 10/03/2016 | LEES SUMMIT, MO | |
B | 05/29/2008 - 10/03/2016 | LEES SUMMIT, MO | |
B | 10/10/2006 - 05/30/2008 | LEE'S SUMMIT, MO |
LEES SUMMIT, MO
01/23/2013 - 10/03/2016
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.