Steffes Financial, Ltd. is a boutique wealth management firm specializing in investment advisory,
retirement planning, IRA rollovers, estate planning, and 401(k) Plans.
We are an independent, privately owned firm. We are not controlled by a large insurance company, wire-house, brokerage firm or multi-state financial firm. Our investment recommendations are not dictated by back-office employees of a large organization who never meet with nor truly understands the needs of their firm's clients.
As a fee-based firm, our focus is keeping our fees low, providing our clients with custom designed portfolios of high quality, low cost, no-load mutual funds and exchange traded funds through our preferred Custodians TD Ameritrade Institutional and/or Charles Schwab Institutional.
We hate annuities. If you already have a high cost (hidden commission) annuity, we will provide you with information on the available low cost, no commission, no surrender, fee-based annuity alternatives. As most investors know, high fees have a significantly negative impact on long-term net returns.
Our core long-term investment philosophy is to buy and hold quality investments through the majority of the business cycle using our FIN-DEFCON System. Portfolios are automatically adjusted as we detect economic trends that have preceded past recessions and recoveries. To get a feel for our FIN-DEFCON System, see our latest video webcast on the Steffes Financial website, Economic Update tab.
|Firm Start Year:||1997|
|Name of Broker/Dealer:||Cambridge Investment Research, Inc.|
|Name of Custodial Firm:||TD Ameritrade Trust and Charles Schwab|
|Number of Years with Current Firm:||5|
|Investment Types:||Stocks, Mutual Funds, Bonds, Exchange Traded Funds (ETFs)|
|I can meet clients in the following ways:||Via phone, At my office, Video Conference|
Qualifications & Memberships
|Financial Organization Memberships:||2014 - Current, Fi360 Global Fiduciary Insights|
|Firm's Number of Clients:||200+|
|Assets Managed by Firm:||$300,000,000+|
|Registered Investment Advisor:||Yes|
|Investment Advisor Representative:||Yes|
|I am an acknowledged fiduciary:||Yes|
|Compliance Disclosures in Last 5 years:||I have a clean record|
|Criminal Disclosures in Last 5 years:||I have a clean record|
Compensation and Fees
|Minimum Portfolio Size for New Managed Accounts:||300,000|
|Compensation Methods:||Based on Assets|
|Additional Details on Charges:||1.00% on the first $1,000,000 then 0.60% on the next $1,000,000 then 0.50% on the next $1,000,000 then 0.40% on all additional monies.|
|MBA - Business Administration||
|Bachelor's Degree - Sports Management||
SEC Form ADV Part 2A Client Brochure:
SEC Form ADV Part 3 Relationship Summary:
Registered Representative, Securities offered through Cambridge Investment Research, Inc., a Broker/Dealer, Member FINRA/SIPC. Investment Advisory Services offered through Steffes Financial, Ltd., a Registered Investment Advisor. Cambridge Investment Research, Inc. and Steffes Financial, Ltd., are not affiliated entities.
Chris has been working in the financial services industry since 2008 and joined Steffes Financial, Ltd. in August of 2014. Chris previously worked for First National Bank of Omaha for 5 years where he was responsible for managing the investment accounts for the six branches in the Kansas Market. Before that he spent two years working for New England Financial and its parent company MetLife.
Chris Stakley is a CERTIFIED FINANCIAL PLANNER PRACTITIONER® and an Accredited Investment Fiduciary. He received a Bachelor's Degree in Sport's Management from Benedictine College in 2007 and his M.B.A. with an emphasis in Finance from Benedictine College in 2008 where he was also a member of the baseball team.
Lives in Gardner, KS, with wife Sarah, German Shepard Ava and Harper a rescue. Enjoys motorcycle trips, running, CrossFit and Olympic Weightlifting. Volunteer coach at Adamant CrossFit in Olathe, KS.
|Mon.||8:30 AM - 5:00 PM|
|Tue.||8:30 AM - 5:00 PM|
|Wed.||8:30 AM - 5:00 PM|
|Thu.||8:30 AM - 5:00 PM|
|Fri.||8:30 AM - 4:00 PM|