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Stephen James Small

ASPEN WEALTH MANAGEMENT, INC.·OVERLAND PARK, Kansas
Series 65Clean record18 years registeredASPEN WEALTH MANAGEMENT, INC.
7300 COLLEGE BLVD., OVERLAND PARK, KS 66210CRD# 5400331Firm CRD# 116061

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Stephen James Small · OVERLAND PARK, KS
Registration
CRD #5400331 · ASPEN WEALTH MANAGEMENT, INC. · 18 years registered
Brand Profile
Not yet started
01

Career History

ASPEN WEALTH MANAGEMENT, INC.
Sep 2007 – present
02

Registrations & Exams

FINRA examinations passed
Series 65
Registration record
First registered · September 6, 2007
Years registered · 18
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
ASPEN WEALTH MANAGEMENT, INC.
CRD 116061 · SEC 801-62136
AUM
$68M
Regulatory assets under management
Employees
3
588 client accounts
Services offered by ASPEN WEALTH MANAGEMENT, INC.
Per Form ADV
Financial planning
Portfolio management (individuals)
Pension consulting
Selection of other advisers
Security ratings or pricing services
Other
Client types served by the firm
Per Form ADV
Individuals
Pension & Retirement Plans
High Net Worth Individuals
View all advisors at ASPEN WEALTH MANAGEMENT, INC. →
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05

Frequently Asked Questions

What services does Stephen James Small offer?
Stephen James Small specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management. Contact their office in OVERLAND PARK, Kansas for a consultation.
What are Stephen James Small's credentials?
Stephen James Small is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Stephen James Small located?
Stephen James Small is based in OVERLAND PARK, Kansas, working with ASPEN WEALTH MANAGEMENT, INC.. Their office serves clients in the OVERLAND PARK metropolitan area and surrounding communities.
How does Stephen James Small charge for services?
Stephen James Small's firm is compensated through percentage of aum, subscription fees, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is ASPEN WEALTH MANAGEMENT, INC.?
ASPEN WEALTH MANAGEMENT, INC. has approximately 3 employees and manages $68M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at ASPEN WEALTH MANAGEMENT, INC.

Trevor Kyle Holsinger
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