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Special Advertising Section ­
2013 Five Star Wealth Managers
2013 Kansas City
Five Star
Wealth Managers
In a consumer study about dynamics between wealth
managers and their clients, Five Star Professional polled
wealth managers and consumers about communications. Both
groups said that connecting three to four times a year is the
right communications strategy, but expectations are not
aligned in all areas:
are financial advisors, financial planners, investment
advisors, tax advisors and estate planning attorneys.
• 2 9 percent of consumers want to be contacted by their
wealth manager whenever events require an update; only 7
percent of wealth managers say they contact clients based
on the impact of events.
KC Magazine, KC Business and Five Star Professional
partnered to find wealth managers who satisfy 10 objective
eligibility and evaluation criteria that are associated with
wealth managers who provide quality services to their
clients. Among many distinguishing attributes, the average
one-year client retention rate for this year’s award winners
is more than 96 percent.
• 63 percent of consumers say they receive the right amount
of communication from their wealth manager.
From research conducted by Five Star Professional, April 2011.
Wealth managers, broadly defined, are those
individuals who help you manage your financial
world and/or implement aspects of your financial
strategies. Common examples of wealth managers
How do you find a wealth manager with experience, who
has a good base of clients with high retention rates, and
who has undergone a regulatory and complaint review?
And when you find them, are they accepting new clients?
Don’t listen to other people. Investigate
for yourself. Be wary of advisers who say
they never had a down year.”
— Five Star Wealth Manager
A Select
Award
The 2013 Five Star Wealth Managers are a select group, representing less than 3 percent of the wealth
managers in the Kansas City area.(1)
Although this list is a useful tool for anyone looking for help in managing their financial world or
implementing aspects of their financial strategies, it should not be considered exhaustive. Undoubtedly, there are many excellent
wealth managers who, for one reason or another, are not on this year’s list.
Award
In order to consider a broad population of high-quality wealth managers, award candidates
are identified by one of three sources: firm nomination, peer nomination or pre-qualification
based on industry standing. Self-nominations are not accepted. Kansas City award candidates
were identified using internal and external research data, including a survey to more than
2,100 registered financial services professionals and all identified financial service companies in the area that are registered with
FINRA or the SEC.
Candidates
FS 1 — Five Star award information: www.fivestarprofessional.com
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Special Advertising Section ­
Of Award Winners
Award candidates who satisfied 10 objective eligibility and evaluation criteria that are
associated with wealth managers who provide quality services were named 2013 Five Star
Wealth Managers.(2)
Eligibility Criteria – Required(3)
2013
1. C redentialed as an investment advisory representative (IAR), a FINRA-registered
representative, a CPA or a licensed attorney.
2. Actively employed as a credentialed professional in the financial services industry for a
minimum of five years.
3. Favorable regulatory and complaint history review.(4)
4. Fulfilled their firm review based on internal firm standards.
5. Accepting new clients.
Evaluation Criteria – Considered(3)
6. One-year client retention rate (the average one-year client retention rate of this year’s
award winners is more than 96 percent).
The Five Star award goes to less
than 7 percent of wealth managers.
7. Five-year client retention rate.
8. Non-institutional discretionary and/or non-discretionary client assets administered (this
year’s award winners administer an average of $98 million in client assets).
9. Number of client households served (on average, this year’s award winners serve 272
households).
10. Education and professional designations.
Research
Disclosures
• Wealth managers do not pay a fee to be considered or
placed on the final list of Five Star Wealth Managers.
• The Five Star award is not indicative of the wealth manager’s future performance.
Insights from Five Star
Wealth Managers
Wishful thinking is not
planning. If you plan
for the worst, you will
never be unpleasantly
surprised.”
• Wealth managers may or may not use discretion in their practice and therefore may not manage
their clients’ assets.
• The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed
as an endorsement of the wealth manager by Five Star Professional, KC Magazine or KC Business.
• Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future
investment success, nor is there any guarantee that the selected wealth managers will be awarded
this accomplishment by Five Star Professional in the future.
• F ive Star Professional is not an advisory firm, and the content of this article should not be
considered financial advice. For more information on the Five Star award and the research/
selection methodology, go to www.fivestarprofessional.com.
• (1) 766 award candidates in the Kansas City area were considered for the Five Star Wealth Manager
award. 203 (approximately 27 percent of the award candidates) were named 2013 Five Star Wealth
Managers.
(2)
(3)
(4)
Wealth managers were required to certify that any information they provided was accurate.
Criteria 4, 8 and 9 do not apply to attorneys or CPAs.
As defined by Five Star Professional, the wealth manager has not:
• Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine.
• Had more than a total of three customer complaints filed against them (settled or pending) with any regulatory authority or
Five Star Professional’s consumer complaint process.
• Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority.
• Filed for personal bankruptcy.
• Been convicted of a felony.
Clients don’t care how
much you know until
they know how much
you care.”
Only invest in
something that
you understand.”
What matters most is
how you recover from
setbacks.”
Five Star Professional conducts a regulatory review of each nominated wealth manager using the Investment Adviser Public Disclosure (IAPD) website. Five Star Professional also
uses multiple supporting processes to help ensure that a favorable regulatory and complaint history exists. Data submitted through these processes was applied per the above criteria:
• Each wealth manager who passes the Five Star Professional regulatory review must attest that they meet the definition of favorable regulatory history, based upon the criteria
listed above.
• Five Star Professional promotes via local advertising the opportunity for consumers to confidentially submit complaints regarding a wealth manager.
• Five Star Professional contacted approximately 1 in 12 households identified as having a high propensity to use the services of wealth managers in order to provide consumers the
opportunity to submit complaints regarding a wealth manager. More than 10,800 households in the Kansas City area were contacted.
The Five Star Wealth Manager selection criteria was updated for the 2012 award year. 2005 – 2011 Five Star Wealth Managers scored highest in overall satisfaction based on feedback
from clients, peers and industry experts. No more than 7 percent of wealth managers receive the award each year. The selection process for the 2005 – 2011 award winners can be
found at www.fivestarprofessional.com/2011/wealth_managers_research_overview.php.
www.fivestarprofessional.com: Five Star award information — FS 2
2013 Five Star Wealth Managers
Determination
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Special Advertising Section ­
2013 Five Star Wealth Managers
Award winners listed by primary services and listed alphabetically by last name.
Business Planning
Forrest Cook ∙ Cook Financial Group
Jeffrey Zimmerman ∙ Law Office of Jeffrey D.
Zimmerman
David Crupper ∙ Ameriprise Financial Services, Inc.
Estate Planning
James Berger ∙ Berger Law Firm
Larry Bingham ∙ Seigfreid Bingham
Jennifer Finch ∙ Krigel & Krigel
Jon Gilchrist ∙ Payne & Jones Chartered
Debra Hallauer ∙ Hallauer Law Office
Jacob Cummings ∙ Ameriprise Financial
Services, Inc.
Doug Nelson ∙ Doug Nelson Money Coach
Page 10
Kathleen O’Dowd ∙ The Planned Approach
Fred Overton ∙ Financial Professionals
Chad Davis ∙ Ameriprise Financial Services, Inc.
Benjamin Panos ∙ Morgan Stanley
James DeJulio ∙ First National Wealth Management
Vincent Pastorino ∙ Buttonwood Financial Group
Andrew Dibble ∙ Ameriprise Financial Services, Inc.
Randal Pierson ∙ CommunityAmerica
Credit Union Page 11
Janis Dickey ∙ Morgan Stanley
Page 8
Wendy Prestwood ∙ Prestwood Financial Group
Kenneth Eaton ∙ Stepp & Rothwell
Alan Rickert ∙ Centerpoint Advisory Services
Eric Hansen ∙ Payne & Jones Chartered
Richard Enna ∙ R.J. Enna & Associates
Financial Group
Paul Himmelstein ∙ Van Osdol & Magruder
Greg Finke ∙ Stewardship Capital
Alisa Roth ∙ Mariner Wealth Advisors
Christopher Hinken ∙ CT Hinken and Associates
Scott Fitzgerald ∙ Merrill Lynch
Howard Rothwell ∙ Stepp & Rothwell
H. Elvin Knight, Jr. ∙ Spencer Fane Britt & Browne
Matt Gazaway ∙ VALIC Financial Advisors
Troy Rust ∙ AXA Advisors
Cindy McClannahan ∙ Seigfreid Bingham
Timothy Gingles ∙ Ameriprise Financial Services, Inc.
Lisa Shaw ∙ Merrill Lynch
Stephanie Newkirk ∙ Lathrop & Gage
Charlotte Gist ∙ Lincoln Financial Advisors
Todd Shepherd ∙ Creative Planning
Carl Radom ∙ Ferree Bunn Rundberg Radom &
Ridgway
Janice Greer ∙ Ameriprise Financial Services, Inc.
Nathan Smith ∙ Thrivent Financial
Stephanie Guerin ∙ The Planned Approach
Matthew Starkey ∙ KHC Wealth Management
Randall Hallier ∙ Creative Planning
Kathy Stepp ∙ Stepp & Rothwell
Stephanie Smith ∙ Stephanie M. Smith, Chartered
Nathan Sutton ∙ Sutton Law Office
Terry Williams ∙ The Estate & Business Law Group
Richard Woods ∙ Kirkland Woods & Martinsen
Kimberly Zellmer ∙ Zellmer Law Firm
Page 5 & 6
Ryan Swartz ∙ Creative Planning
George Hall Harsh ∙ Cornerstone Financial Advisors
Matthew Thompson ∙ Ameriprise Financial
Services, Inc.
Page 9
Nicholas Karabas ∙ Creative Planning
Scott Adams ∙ The Special Needs Planning Center
Vestana Ahlen ∙ Ameriprise Financial Services, Inc.
Mark Albright ∙ Ameriprise Financial Services, Inc.
Gregory Allison ∙ Ameriprise Financial Services, Inc.
Pierre Badertscher ∙ Security Financial Advisors
Joseph Bartkoski ∙ Bankers & Investors Company
J. Caleb Bradley ∙ Ameriprise Financial Services, Inc.
Page 5 & 6
Michael Brun ∙ Ameriprise Financial Services, Inc.
Page 5 & 6
Page 5 & 6
Darrell Tierney ∙ Windward Private Wealth
Management
Kelly Voitenko ∙ The Planned Approach
Page 5 & 6
Kenneth Walton ∙ AXA Equitable
Brian Kaufman ∙ Prairie Capital Management
Catherine Wear ∙ Ameriprise Financial Services, Inc.
Michael Kijowski ∙ Peoples Bank
Richard Woody ∙ The Woody Financial Group
Chris Kulesa ∙ RBC Wealth Management
Michael Wren ∙ Ameriprise Financial Services, Inc.
Cory Lagerstrom ∙ Frontier Wealth Management
Investments
Frank Mall ∙ Equity Services
Dennis Bacon ∙ WaterFront Wealth
John Martin ∙ Thrivent Financial
Robert McCarthy ∙ Creative Planning
Page 5 & 6
Jason McElwee ∙ Mariner Wealth Advisors
Heath Burch ∙ The Special Needs Planning Center
Scott McMillen ∙ Ameriprise Financial
Services, Inc. Page 10
Robert Burks ∙ RBC Wealth Management
Ryan McQueary ∙ Morgan Stanley
K. Wade Carpenter ∙ Summit Wealth Advisors
R. Brook Menees ∙ Boulder Investment Group
Renee Charpie ∙ LPL Financial
Richard Meyer ∙ V Wealth Management
Randy Clayton ∙ Clayton Financial Services
Robert Meyer ∙ Ameriprise Financial Services, Inc.
FS 3 — Five Star award information: www.fivestarprofessional.com
Page 7
John Harrison ∙ Harrison Capital Management
Paul Kalicki ∙ John Hancock
Douglas Adams ∙ Morgan Stanley
Page 5 & 6
Brenna Stewart ∙ Creative Planning
Nichole Jansen ∙ MetLife
Financial Planning
Page 11
Wayne Harlan ∙ Ameriprise Financial Services, Inc.
Kevin Hennessy ∙ Country Club Financial Services
Jonathan Zerr ∙ Kapke & Willerth
Brett Broyles ∙ Creative Planning
Jamie Rietzke ∙ Ameriprise Financial Services, Inc.
Darin Bahm ∙ U.S. Bancorp Investments
Page 9
Rick Bain ∙ Lighthouse Financial Strategies
Page 8
Jon Bakalar ∙ Smith Moore & Company
John J. Beachy ∙ Morgan Stanley
Stuart Berkley ∙ Financial Counselors
Terry Betzelberger ∙ Levitt Betzelberger Weinrich
Jahnnie Brake ∙ Edward Jones
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Special Advertising Section ­
S. Wesley Brock ∙ Merrill Lynch
Duffy Hokanson ∙ Creative Planning
D. Marc Brookings ∙ Symphonic Financial Advisors
Steve Hoover ∙ The Retirement Pilot
Gary Bussing ∙ The Mutual Fund Store
James Horlacher ∙ First Affirmative Financial
Network
Page 11
Timothy Carlin ∙ Edward Jones
Ann Case ∙ WealthSprings
Page 11
LaMont Chandler ∙ Chandler Financial Group
Daniel Cherra ∙ V Wealth Management
James Claiborne ∙ Financial Partners Group
Jim Clayton ∙ Edward Jones
Scott Connors ∙ V Wealth Management
Mark Cook ∙ Ameriprise Financial Services, Inc.
Jessica Culpepper ∙ Creative Planning
Page 5 & 6
Page 5 & 6
Deidra Hunn ∙ Merrill Lynch
David Imhoff ∙ Cornerstone Wealth Advisors
Bud Kasper ∙ Barber Financial Group
Barbara Kay ∙ INVEST Financial Corporation
Reggie Kemna ∙ Ameriprise Financial Services, Inc.
John Ludwig ∙ Morgan Stanley
Michael Lutz ∙ Legacy Financial Strategies
Page 5 & 6
Ethel Davis ∙ Paragon Capital Management
Kelley Martin ∙ Martin Financial Group
Bruce Derks ∙ Berthel Fisher
Michael Martin ∙ Martin Financial Group
Jim Easley ∙ Edward Jones
Pete Martinez ∙ Insight Financial Services
Douglas Elstun ∙ Larmer and Elstun
Michael McCaw ∙ McCaw & Associates/Ameriprise
Financial Services, Inc.
David Enenbach ∙ Enenbach & Associates Financial
Consultants
Tony Moeller ∙ Integrity Investment Advisors
Dwight Ensminger ∙ Wells Fargo Advisors, LLC
Timothy Murphy ∙ Edward Jones
Michael Farris ∙ BMF Investments
Dan Myers ∙ Midwest Investment Services/LPL
Financial
Christopher Ferguson ∙ The Mutual Fund Store
Scott Ferguson ∙ Morgan Stanley
Bob Fischgrund ∙ CBIZ Financial Solutions
Brett Flood ∙ Blue Valley Investment Services
Roy Fortner ∙ The Retirement Planning Group
Mark Foudree ∙ Wells Fargo Advisors, LLC
Jeff Gaeth ∙ Securities America
Joseph Ganote ∙ Bank of Lee’s Summit
David Garrison ∙ Capital Investment Management
Henry Giessen ∙ American Century Investments
Joseph Gilgus ∙ Merrill Lynch
Gregory Greenberg ∙ Wells Fargo Advisors, LLC
Amber Griffis ∙ Merrill Lynch
Jared Gudenkauf ∙ Merrill Lynch
Doug Hammer ∙ Edward Jones
Kurt Hill ∙ Edward Jones
Richard Romey ∙ ETF Portfolio Partners
Molly Rothove ∙ Creative Planning
Page 5 & 6
David Schmidt ∙ The Private Capital Office/
LPL Financial
Robert Hunter ∙ Financial Counselors
Peter Mallouk ∙ Creative Planning
William Rogenmoser ∙ Rogenmoser Financial
Services
Ron Seltzer ∙ Comprehensive Investment Service
Margo Shepard ∙ Wells Fargo Advisors, LLC
Mike Shields ∙ WaterFront Wealth
Dianna Smith ∙ Morgan Stanley
Sandra J. “Sandee” Smith ∙ Morgan Stanley
Terry Smitka ∙ Robert W. Baird & Company
Satu Stechschulte ∙ Financial Counselors
Frank Swyden ∙ Frank K. Swyden Asset Management
David Teasley ∙ Edward Jones
Arthur Tichenor ∙ Tallgrass Advisors
Michelle Trouve ∙ Danda Trouve Investment
Management
Jeffrey Tudas ∙ Summit Wealth Advisors
Rocky Valentine ∙ Edward Jones
Madelyn Verhaeghe ∙ Merrill Lynch
Mark Vlasic ∙ McGladrey Wealth Management
Richard Myers ∙ Ameriprise Financial Services, Inc.
Timothy Walla ∙ Walla Street Wealth Management
J. Michael Nauman ∙ Bankers & Investors Company
James Widman ∙ Wells Fargo Advisors, LLC
David Neihart ∙ Wells Fargo Advisors, LLC
Jim Williams ∙ Creative Planning
James Neunuebel ∙ Merrill Lynch
Kurt Zlomke ∙ Edward Jones
Jennifer Nicholson ∙ Nicholson Capital Management
Taxation
Craig Novorr ∙ Paragon Capital Management
Michael O’Neill ∙ Mariner Wealth Advisors
David Pacer ∙ Trinity Planning Group
Jerry Perfect ∙ Gateway Wealth Management
Brian Perott ∙ Financial Counselors
Page 5 & 6
Teal Dakan ∙ BKD
William Klasinski ∙ Hollis Kuckelman VanDeVeer
Scott McRuer ∙ McRuer, CPAs
John Pritchard ∙ John G. Pritchard, CPA
John Taylor ∙ Taylor Accountancy Chartered
Matthew Pomianek ∙ Edward Jones
Warren Pray ∙ Edward Jones
Mark Rabin ∙ Personal Financial Group
Roger Ratzlaff ∙ WaterFront Wealth
Randall Rhyner ∙ Smith Moore & Company
Cindy Richey ∙ Prosperity Planning
Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, Certified Financial Planner™ and the federally registered CFP (with flame logo) in the U.S., which it awards to individuals who
successfully complete CFP Board’s initial and ongoing certification requirements. The Chartered Financial Consultant credential [ChFC®] is a financial planning designation awarded by The American College.
www.fivestarprofessional.com: Five Star award information — FS 4
2013 Five Star Wealth Managers
Award winners listed by primary services and listed alphabetically by last name.
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2013 Five Star Wealth Managers
Creative Planning
•
•
•
A
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b
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p
a
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y
W
I
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Left to right: 2013 winner Ryan Swartz, 2013 winner Brett Broyles, four-year winner Jim Williams, three-year winner Brenna Stewart,
six-year winner Peter Mallouk, two-year winner Molly Rothove, 2013 winner Jessica Culpepper, four-year winner Todd Shepherd,
two-year winner Bob McCarthy (Not Pictured: Five-year winner Randall Hallier, two-year winner Duffy Hokanson, 2013 winner Nick Karabas)
FS 5 — Five Star award information: www.fivestarprofessional.com
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2013 Five Star Wealth Managers
W
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Special Advertising Section ­
• Top 100 Independent Financial Advisors, Barron’s magazine
• Top 100 Wealth Advisors in America, Worth magazine
• Top 50 Independent Advisors, Forbes magazine
Areas of Focus: Investment Management, Financial Planning, Estate Planning
Reflecting the satisfaction of our clients, Creative Planning has grown through referrals. With approximately $5
billion in assets under management, our top flight team has extensive experience in both bull and bear markets.
Creative’s investment committee focuses on cost-effective, after-tax results. Creative steadfastly refuses to sell
proprietary funds, which would immediately create a conflict of interest. Our process has withstood both
academic testing and real-world markets, with an emphasis on maximizing returns while controlling risk. There
has never been a better time to meet with Kansas City’s most recognized wealth management advisors to get
your personal financial house in order.
Creative Planning, Inc.
3400 College Boulevard • Leawood, KS 66211
Phone: (913) 338-2727
www.thinkingbeyond.com
www.fivestarprofessional.com: Five Star award information — FS 6
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Special Advertising Section ­
2013 Five Star Wealth Managers
Nathan E. Smith
Johnson County Associates
Areas of Focus: Retirement
Planning Services/Income
Strategies
Left to right: Three-year winner Nathan E. Smith, Wealth Advisor, CFP®; 2010 winner Leon Bauman, Financial Associate, FIC;
Heather Ferris, Licensed Office Professional; 2011 winner Richard Rubeo, Financial Associate, FIC
• Faith- and values-based services
• Comprehensive financial approach
• Wealth management and preservation strategies
As a career-long advisor with Thrivent Financial for Lutherans,
Nathan Smith of the Johnson County team brings the highest
ethical standards to bear. Nate has built a reputation on the
integrity that Thrivent Financial for Lutherans’ clients expect,
putting their needs/concerns first. Nate is dedicated to forming
long-lasting partnerships with his clients as he works to find
financial solutions to meet their needs, provide clarity for the
future and understanding during turbulent markets.
7199 West 98th Terrace, Suite 160 • Overland Park, KS 66212
Office: (913) 642-0551 • Toll-free: (866) 642-0551
[email protected] • www.thrivent.com
Registered Representative for securities and investment advisory services offered through Thrivent Investment Management Inc. Member FINRA and SIPC.
Certified Financial Planner Board of Standards Inc. owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the U.S. 571692.
FS 7 — Five Star award information: www.fivestarprofessional.com
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Guidance When You Need It
• Accessible beyond 9 a.m. to 5 p.m.
Tw
W o-Y
in ea
ne r
r
• Biblical-values investing options
• Fee-based financial planning specialist
Left to right: Mona Bain and two-year winner Rick Bain, Financial Advisor, Certified Fund
Specialist®, Company Founder; Photo by Kia Bondurant
What does financial independence look like for you? Rick specializes in designing
customized financial and investment plans, integrated with employer-sponsored
plan options, allowing multiple accounts to be structured into a complementary
strategy. Rick's goal is to educate clients and Dave Ramsey listeners with the heart
of a teacher, to help them make meaningful decisions regarding their unique
circumstances. Mona provides client account services and scheduling support.
Lighthouse Financial Strategies
8730 Bourgade Avenue, Suite 100
Lenexa, KS 66219-1440
Direct: (816) 537-5148
Office: (913) 322-0006
[email protected]
www.LighthouseStrategies.com
Advisory Services offered through Creative Financial Designs, Inc., a Registered Investment Advisor. Securities are offered through CFD Investments, Inc., member FINRA/SIPC, 2704 South Goyer
Road, Kokomo, IN 46902, (765) 453-9600. Lighthouse Financial Strategies is not a subsidiary of nor controlled by either company.
Hamilton Retirement
Planning Group
at Morgan Stanley
Planning Your Retirement
• Focus on exceptional service
• Helping you create wealth strategies that are
clear and understandable
• Strategies that help you reduce risk and work
towards financial goals
Left to right: 2013 winner Ben Panos, Financial Advisor; Chris Briley, Financial Advisor;
Tom Riordan, Financial Advisor; Gordon Hamilton, Financial Advisor
The Hamilton Retirement Planning Group at Morgan Stanley, member SIPC, is a
diverse group of professionals, including Five Star Wealth Manager Ben Panos,
qualified to help meet the investment needs of individuals who are retired or
approaching retirement. They will help you meet those needs by formulating,
implementing and monitoring a long-term investment plan that could act as a
stepping stone to financial independence. Their purpose is to help you create a
diversified portfolio with strategic allocations that represents a blend of assets that
are appropriate for your risk and return objectives.
4520 Main Street, 8th Floor
Kansas City, MO 64111
Phone: (816) 932-7856
Toll-free: (800) 821-6119
www.morganstanleyfa.com/hrpg
© 2013 Morgan Stanley Smith Barney LLC. Member SIPC.
www.fivestarprofessional.com: Five Star award information — FS 8
2013 Five Star Wealth Managers
Rick Bain
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2013 Five Star Wealth Managers
Nichole D. Jansen
Serving the Financial
Health of Individuals
• Your financial freedom is our goal
• Determined to work with you and for you
• Our energy and synergy benefit you
Left to right: Jackie Bostick, 2013 winner Nichole D. Jansen, Debra Windham
Our goal is to be of value to every client. We strive to provide value through a
comprehensive approach to understanding your goals and helping you to achieve
them for the reasons that are important to you. We bring to you our subject matter
expertise in various areas of financial strategies, facilitating your understanding
of your financial world and allowing you to understand where you are, where you
are going and how to get there. We strive to be your trusted advisor and partner
in your financial endeavors.
MetLife
10801 Mastin Boulevard, Suite 600
Overland Park, KS 66210
Office: (913) 234-4800
Direct: (913) 234-4872
[email protected]
Nicole D. Jansen is a registered representative of and offers securities products and investment advisory services through MetLife Securities, Inc. (MSI) (member FINRA/SIPC) and
a registered investment adviser. Metropolitan Life Insurance Company (MLIC), New York, NY 10166. MSI and MLIC are MetLife companies. L1112290484[exp1213][MO].
The Private
Client Group
Enriching the Lives of Our Clients
• Comprehensive wealth management
• Personalized service and expert advice
• U.S. Bancorp’s long history of financial services
2013 winner Darrin Bahn, Financial Advisor
To receive the 2012 and/or the 2013 Five Star Wealth Manager award, researched and managed by Five Star Professional, a wealth
6405 North Cosby Avenue
manager must be nominated by either a peer or by their firm. In the case of representatives of U.S. Bancorp Investments, Inc., firm
nominations are made by either the individual’s Region or Division Manager. Nominees are then evaluated using a list of 10 objective
Kansas City, MO 64151
criteria and feedback from consumer surveys. Consumer feedback and surveys are promoted via local advertising, through the
Office: (816) 746-2925
Five Star Professional website and by Five Star Professional researchers to augment the regulatory review of reported complaints.
Those wealth managers whom satisfy the criteria were named a Five Star Wealth Manager. Find full measurement formulas and
[email protected]
information on www.fivestarprofessional.com. The 2012 and 2013 Five Star Wealth Managers do not pay a fee to be included in the
www.usbank.com
research or the final list of Five Star Wealth Managers, but may pay for licensed use of the Five Star emblem and award. Working with
a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the
future. The Five Star award is not indicative of the wealth managers future performance. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by
Five Star Professional, KC Magazine or KC Business. Investment products and services are available through U.S. Bancorp Investments, Inc., member FINRA and SIPC, an investment adviser and a brokerage subsidiary of U.S. Bancorp and
affiliate of U.S. Bank. U.S. Bank is not responsible for and does not guarantee the products, services, or performance of affiliates or third parties.
Not a Deposit Not FDIC Insured Not Guaranteed by the Bank May Lose Value Not Insured by Any Federal Government Agency
FS 9 — Five Star award information: www.fivestarprofessional.com
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Special Advertising Section ­
Doug Nelson
4435 Main St., Ste. 500
Kansas City, MO 64111
Phone: (816) 448-5008
[email protected]
ameripriseadvisors.com/
scott.a.mcmillen
Livestock Exchange Building
1600 Genessee St., Ste. 823
Kansas City, MO 64102
Cell: (913) 461-SAVE
Dream > Plan > Track®
[email protected]
www.lincolninvestment.com
Guidance Through Turbulence!
• Identify and prioritize goals and objectives
• Gather and analyze data; propose solutions
• Review and track progress over time
• Comprehensive planning and risk strategies
• Benchmarking and designing employer plans
• Socially responsible investing and values-driven investments
Title: Financial Advisor
CERTIFIED FINANCIAL PLANNER™ professional, Global Fiduciary Strategist
Credential: LUTCF
As an Ameriprise financial advisor, I believe success should be
measured not just by your financial well-being, but by how confident
you feel about your future. My mission is to help you reach your
financial goals through a personal relationship based on personalized,
knowledgeable advice. This focus is designed to help you reach your
goals, giving you greater confidence by having a plan in place.
Investors should conduct their own evaluation of a financial professional as working with a
financial advisor is not a guarantee of future financial success. Brokerage, investment and financial
advisory services are made available through Ameriprise Financial Services, Inc., Member FINRA
and SIPC. Some products and services may not be available in all jurisdictions or to all clients.
I provide comprehensive financial solutions to individuals and
employers. An ex-Peace Corps volunteer, I particularly enjoy aligning
investors’ values with their investments and strategies.
Advisory services and securities are offered through Lincoln Investment Planning, Inc.,
Registered Investment Advisor, Broker/Dealer, Member FINRA/SIPC.
“Wishful thinking
is not planning. If
you plan for the
worst, you will never
be unpleasantly
surprised.”
— Five Star award winner
www.fivestarprofessional.com: Five Star award information — FS 10
2013 Five Star Wealth Managers
Scott McMillen
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Special Advertising Section ­
2013 Five Star Wealth Managers
Gary Bussing
“Have a process for
managing money
that is not based on
opinions, attitudes or
emotions.”
— Five Star award winner
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The Mutual Fund Store
11095 Metcalf Ave.
Overland Park, KS 66210
Phone: (913) 338-2323
Cell: (913) 647-4405
[email protected]
www.mutualfundstore.com
CERTIFIED FINANCIAL PLANNER™,
Chartered Financial Consultant®
As an independent advisor, Gary selects from
a broad range of mutual funds to create
portfolios designed for growth, preservation
and distribution. Clients value his experience,
integrity and customer commitment.
Ann Case
Randal S. Pierson
Troy Rust
118 Spring St.
Excelsior Springs, MO 64024
Phone: (816) 630-1170
[email protected]
www.wealthspringsllc.com
CommunityAmerica
Credit Union
9777 Ridge Dr.
Lenexa, KS 66219
Phone: (913) 905-8188
[email protected]
cacu.com
AXA Advisors, LLC
7400 W 110th St., Ste. 700
Overland Park, KS 66210
Cell: (913) 485-8769
Office: (913) 345-2800, Ext. 413
[email protected]
www.troyrust.com
Titles: President and CEO
Ann is the owner of WealthSprings, LLC, a
financial consulting firm, and she is affiliated
with LPL Financial, the largest independent
brokerage firm in the country*. Ann was
named to LPL Financial’s Patriot’s Club which
is reserved for less than 10 percent of the firm’s
12,800 advisors nationwide.
Securities offered through LPL Financial Member – FINRA/SIPC.
*As reported by Financial Planning magazine, June 1996 – 2011,
based on total revenue.
“You will never get rich
by just saving money
— you must invest in
opportunities to
build wealth.”
— Five Star award winner
FS 11 — Five Star award information: www.fivestarprofessional.com
Senior Financial Advisor
CUSO Financial Services, LP
I am committed to helping you build a financial
plan that’s right for you.
Nondeposit investment products and services are offered through CUSO
Financial Services, L.P. (“CFS”), a registered broker-dealer (Member FINRA/SIPC)
an SEC-Registered Investment Advisor. Products offered through CFS: are not
NCUA/NCUSIF or otherwise federally insured, are not guarantees or obligations
of the credit union and may involve investment risk including possible
loss of principal. Investment Representatives are registered through CFS.
CommunityAmerica Credit Union has contracted with CFS to make nondeposit
investment products and services available to credit union members.
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Title: Financial Consultant
With 23 years of experience in financial
services, Troy has developed a successful
practice emphasizing long-term client
relationships built on ethics, service and trust.
Securities and investment advisory services offered through AXA
Advisors, LLC (NY, NY 212-314-4600), member FINRA, SIPC.
Annuity and insurance products offered through AXA Network,
LLC and its subsidiaries. PPG 66202(11/11)(Exp 11/13).