Mark Stephen Falter

Mid-American Wealth Advisory Group

38 Years of Experience

5 DisclosuresSells Insurance

View SEC Summary

Areas of Practice

Investment Management

Mid-American Wealth Advisory Group

Compensation

Fee-Only (AUM)

Firm Size

5 advisors

Number of Clients

936 clients

Average Client Portfolio

$303K average

Assets Under Management

$283.3M

Fee Structure

Financial Planning:Investment management only

Location

7505 NW Tiffany Springs Parkway, 4th Floor, Kansas City, MO, 64153

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History

Regulatory History (5)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

September 2020

Settled

Customer Dispute

March 2020

Settled

Customer Dispute

September 2018

Settled

Customer Dispute

May 2006

Denied

Customer Dispute

May 2005

Settled

View Full SEC Report How to Read Disclosures

Other Business ActivitiesSells Insurance

Mark is the president of Mid-American Wealth Advisory Group, which offers insurance and annuity sales and tax preparation, and is also an independent insurance agent. He also owns a drone flight company and a share cropping company, and spends about half his time on investment advisory services.

Employment History

Current Registrations

Mid-American Wealth Advisory Group

March 2021 - Present · 4 yrs 11 mos

Previous Registrations

Mid-American Wealth Advisory Group

October 2020 - January 2021 · 3 mos

Sound Income Strategies, LLC

April 2015 - June 2021 · 6 yrs 2 mos

Investors Capital Advisory

January 2010 - November 2015 · 5 yrs 10 mos

Investors Capital Advisory

January 2005 - December 2009 · 4 yrs 11 mos

Eastern Point Advisors INC.

July 1998 - December 2004 · 6 yrs 5 mos

State Registrations2 states

KSMO

Advisor

Exams

No exam information available for this advisor.