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Gerald Steffes, CPA/PFS, CFP®, AIF®
Steffes Financial, Ltd.

Tel: (913) 722-1111
8655 College Boulevard
Overland Park, KS 66210
Steffes Financial, Ltd. | Financial Advisor in Overland Park ,KS


About Steffes Financial, Ltd.

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.


General Information

Firm Start Year:   1997
No.of Employees:   5-9
Name of Broker/Dealer:   Cambridge Investment Research, Inc.
Name of Custodial Firm:   TD Ameritrade, Charles Schwab
Number of Years with Current Firm:   23
I work with the following types of clients:   Individual Investors, Businesses


Services

Investment Types:   Exchange Traded Funds (ETFs), Stocks, Bonds, Mutual Funds
I can meet clients in the following ways:   Video Conference, At my office, Via phone


Qualifications & Memberships

Financial Organization Memberships:   Fi360 Global Fiduciary Insights Kansas Society of CPAs, American Institute of Certified Public Accountants (AICPA)


Firm Information

Firm's Number of Clients:   200+
Assets Managed by Firm:   $300,000,000+
Advisor's Number of Managed Clients:   200+


Compliance

Registered Investment Advisor:   Yes
Registered Representative:   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

Fee Structure:   Fee-Based (Fee and Commissions)
Minimum Portfolio Size for New Managed Accounts:   $1,000,000
Compensation Methods:   Based on Assets
Additional Details on Charges:   1.00% on the first $1,000,000
0.60% on the next $1,000,000
0.50% on the next $1,000,000
0.40% on all additional
Minimum Fee Charged for Managed Accounts:   $5,000


Education

Bachelor's Degree - Accounting  Kansas State University - Kansas
- 1984



Disclaimer

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.

Gerald Steffes, CPA/PFS, CFP®, AIF®

Gerald Steffes, CPA/PFS, CFP®, AIF®

CPA/PFS, CFP®, AIF®

Gerald Steffes is a Certified Public Accountant, Personal Financial Specialist, Certified Financial Planner® and Accredited Investment Fiduciary®. He received a Bachelors Degree in accounting from Kansas State University in 1984 and is a member of the American Institute of CPAs and Kansas Society of CPAs.

Gerald has served on the Board of Directors of the Kansas Society of CPAs, as past President of the Kansas Society of CPAs Metro Chapter and as an Adjunct Faculty Member of the College for Financial Planning in Denver, Colorado. He has lectured on tax and financial planning topics for the Kansas Society of CPAs, Missouri Society of CPAs, Johnson County Community College, and the University of Missouri, Kansas City, School of Law.

Gerald lives in Overland Park, KS, with wife Renee. They have two children, Grant and Morgan. As a family they enjoy tennis, hiking, skiing, cycling and travel.

My Team

Stacy Luna, CFS®
Stacy Luna, CFS® Client Service Associate
Stacy graduated from Saint Mary College in Leavenworth, KS in 1995 where she received her Bachelor of Science degree. She earned her professional designation CFS (Certified Fund Specialist) in 2004 through The Institutes of Business and Finance. Stacy is responsible for entering and confirming all daily trades, processing all new accounts and transfers, payroll, downloading and maintaining the financial client database,all changes needed for clients accounts (beneficiary, monthl ...more

Chris Stakley, CFP®, MBA, AIF®
Chris Stakley, CFP®, MBA, AIF®
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. Before joining Steffes Financial, Ltd in August of 2014, Chris spent the previous 5 years working for First National Bank of Omaha. He was responsible for managing the investment accounts for the six branches in the ...more

Jill Miller
Jill Miller Client Service Associate
As our Client Service Associate, Jill strives to provide outstanding client service. She is responsible for greeting our clients and assisting with client inquiries. Jill processes client account applications and transfers, investment review reports, and maintains the client database. She also enjoys putting together our quarterly newsletter. Jill is from the Kansas City area and began her career in sales and sales support. She has 20+ years of support experience and enjoys wo ...more

Office Hours

wiseradvisor-balck-li-img Mon. 8:30 AM - 5:00 PM
wiseradvisor-balck-li-img Tue. 8:30 AM - 5:00 PM
wiseradvisor-balck-li-img Wed. 8:30 AM - 5:00 PM
wiseradvisor-balck-li-img Thu. 8:30 AM - 5:00 PM
wiseradvisor-balck-li-img Fri. 8:30 AM - 4:00 PM

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