UNITED CAPITAL MANAGEMENT OF KANSAS, INC. of SALINA, KS is an SEC-registered investment adviser (CRD 157755). Regulatory assets under management: $884.8M.
Compensation: % of AUM, Fixed, Performance.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Investment cos, Other.
| Name | Role | Location |
|---|---|---|
| Manoj Kumar Pombra | CHIEF COMPLIANCE OFFICER | — |
| Chad Mitchell Koehn | OWNER | — |
| Ryan Jay Kolzow | CHIEF OPERATING OFFICER | — |
| Jerad Ross Busch | OWNER | — |
| POMBRA MANOJ KUMAR | CHIEF COMPLIANCE OFFICER | — |
| KOEHN CHAD MITCHELL | OWNER; OWNER, CHIEF COMPLIANCE OFFICER | — |
| KOLZOW RYAN JAY | REGISTERED PRINCIPAL | — |
| BUSCH JERAD ROSS | OWNER | — |
| Erica A Jensen | DIRECTOR OF CLIENT SERVICES | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-10-21 | regulatory | THE FINANCIAL INDUSTRY REGULATORY AUTHORITY ("FINRA") ALLEGED THAT CHAD KOEHN PARTICIPATED IN PRIVATE SECURITIES TRANSACTIONS WITHOUT PROVIDING NOTICE TO OR RECEIVING PRIOR APPROVAL FROM SA STONE WEALTH MANAGEMENT INC. IN VIOLATION OF FINRA RULES 3280 AND 2010. WITHOUT ADMITTING OR DENYING THESE FIN… | Final | $10K |