Chad M. Koehn Kansas Broker Suspension and FINRA Regulatory Details

Chad M. Koehn uncovers his business networks, regulatory suspensions, ongoing lawsuits, scam allegations, and potential AML vulnerabilities. Discover hidden associations, consumer grievances, and a comprehensive risk evaluation for this Kansas financial advisor.

Delving deeper into Chad M. Koehn’s profile amid 2026 developments, we expose regulatory violations, alleged fraudulent schemes, persistent legal battles, and hidden associations that heighten concerns for investors seeking transparency in financial advising.

Unveiling the Enigma of Chad M. Koehn

We embark on this investigation with a commanding grasp of the facts surrounding Chad M. Koehn, a prominent figure in the financial advisory landscape whose career trajectory demands rigorous examination. Our probe draws from regulatory records, court documents, online profiles, and public discourse to construct a holistic portrait, exposing layers of complexity in his professional and personal spheres.

Chad Mitchell Koehn, identified by his central registration depository number, emerges as a veteran in investment advising with a history that blends entrepreneurship and regulatory scrutiny. His professional journey spans nearly three decades, marked by shifts from brokerage to advisory roles, reflecting adaptability but also inviting questions about consistency and compliance. Currently, he holds no active broker registrations but maintains an investment adviser status, focusing on wealth management through his founded entities.

Our analysis positions Koehn at the intersection of traditional finance and emerging sectors, including blockchain and alternative investments. This multifaceted involvement, while innovative, underscores potential conflicts and oversight gaps that we will dissect throughout this report. By aggregating data from diverse sources, we aim to illuminate not just the surface-level achievements but the underlying currents that could influence stakeholder decisions.

Business Relations and Associations

We delve into Koehn’s extensive business relations, which form a tapestry of affiliations across firms, funds, and ancillary ventures. As president, founder, and chief executive officer of United Capital Management of Kansas, Inc., Koehn steers a firm dedicated to investment management and client advisory services. This entity, headquartered in Salina, Kansas, emphasizes personalized strategies for wealth accumulation, retirement planning, and tax-advantaged approaches. Koehn’s role as primary shareholder amplifies his influence, potentially aligning personal gains with firm performance.

Complementing this, Koehn serves as managing partner of the Red Neck Yacht Fund, LP, a limited partnership that positions itself as an investment vehicle for discerning participants. This fund, tied to his advisory firm, suggests a focus on alternative assets, possibly including high-yield opportunities or niche markets. Such structures often involve pooled resources for ventures like real estate or technology, but they also necessitate stringent disclosure to mitigate conflicts of interest.

Historical associations reveal a foundational path in brokerage. Koehn’s tenure at SA Stone Wealth Management Inc. lasted over 16 years, where he operated as a registered representative handling client trades and portfolios. Prior to that, an 11-year stint at Waddell & Reed, Inc., honed his skills in annuities, individual retirement accounts, and general securities. These roles built his expertise but also set the stage for later disclosures.

Beyond core finance, Koehn’s portfolio includes Koehn Farms, LLC, where he acts as owner and operator. This agricultural venture, unrelated to investments, highlights diversification into ranch management and property development. Additionally, references to United Capital Trust suggest involvement in trust services for multigenerational wealth protection.

Our research uncovers ties to emerging technologies, notably through investments in bitcoin exchange-traded funds and blockchain-related entities. Koehn’s participation in industry events, such as conferences in Nashville, indicates networks in cryptocurrency and fintech. These associations, while forward-looking, introduce complexities in regulatory adherence.

Undisclosed Business Relationships and Associations

We probe deeper into potentially undisclosed or opaque relationships that extend Koehn’s influence. The Red Neck Yacht Fund, while publicly linked, may involve unreported partnerships or investor networks not fully transparent in standard filings. Regulatory records highlight private securities transactions in a software and blockchain company, involving substantial sums without firm approval, suggesting informal channels.

Court documents from ongoing litigation reveal associations with entities like AnthemGold and Herasoft, mentioned in allegations of fraudulent activities. These could relate to the blockchain investments cited in disclosures, potentially indicating undisclosed promotional roles. Furthermore, Koehn’s involvement in trust and farm operations might intersect with client advising, raising questions about commingled interests.

Social media and professional networks disclose connections to peers in finance and agriculture, possibly fostering referral systems or joint ventures not formally documented. Our OSINT efforts identify promotional websites that portray Koehn’s multifaceted roles, hinting at self-branded associations beyond regulatory oversight.

Personal Profiles and OSINT Insights

In constructing Koehn’s personal profile, we leverage open-source intelligence to reveal dimensions beyond his professional facade. Residing in Kansas, Koehn’s background includes education in economics and business, providing a foundation for his career. He portrays himself as a rancher and rodeo enthusiast, blending rural roots with financial acumen.

Professional platforms showcase his leadership at United Capital, emphasizing client education and motivation. Connections there include industry figures, suggesting informal mentorships or collaborations. Social media profiles highlight community involvement, such as team events and personal milestones, painting a picture of approachability.

OSINT uncovers multiple personal websites that reiterate his expertise in finance, insurance, and property, potentially serving as marketing tools. These sites emphasize tax strategies and wealth transfer, aligning with his advisory focus but also raising concerns about self-promotion versus regulated advertising.

Public records and media mentions, including features on his bitcoin investments, add layers to his persona as an early adopter of digital assets. However, sparse personal disclosures limit insights into family or non-business associations.

Scam Reports, Red Flags, and Allegations

Our examination intensifies on scam reports, red flags, and allegations that cast shadows over Koehn’s reputation. A notable report accuses him of being a fake stock broker involved in scam cryptocurrencies like AnthemGold and Herasoft. This aligns with regulatory findings of unauthorized private transactions in blockchain entities.

Red flags emerge from a regulatory suspension for engaging in private securities sales without approval, involving $1.475 million from 59 investors, including clients. This “selling away” violation resulted in a one-year ban and fine.

Allegations in court filings include claims of criminal actions, sexual harassment, and severe personal misconduct, though these remain unproven and part of a contentious defamation suit. Such accusations, even if defensive, signal potential reputational vulnerabilities.

Consumer complaints echo in three disclosed disputes: mishandling IRA placements leading to tax issues, failing to include annuity riders, and non-disclosure of surrender charges. These, with requested damages exceeding $250,000, highlight patterns in product handling.

Criminal Proceedings, Lawsuits, Sanctions, and Adverse Media

We find no confirmed criminal proceedings or convictions against Koehn. Sanctions are confined to the regulatory fine and suspension detailed earlier.

Lawsuits center on United Capital Management of Kansas, Inc. et al. v. Nelson, a federal case involving defamation claims against a defendant who counters with allegations of misconduct. Motions for subpoenas, compulsions, and sanctions indicate a protracted battle, with references to whistleblower protections and RICO implications.

Adverse media coverage amplifies the suspension, portraying it as a breach of trust in private dealings. Reports question his advisory practices, linking to investor complaints.

Negative Reviews, Consumer Complaints, and Bankruptcy Details

Negative reviews surface in isolated forums, echoing scam allegations tied to crypto ventures. Consumer complaints align with regulatory disclosures, focusing on annuity and IRA mishandlings.

No bankruptcy details emerge, indicating financial stability at the personal level.

Detailed Risk Assessment: AML and Reputational Risks

In our risk assessment, we evaluate anti-money laundering implications and reputational hazards. Koehn’s facilitation of unapproved blockchain investments raises AML concerns, as such sectors are prone to illicit fund flows due to anonymity features. The lack of disclosure could obscure source verification, amplifying laundering risks.

Reputational risks are heightened by the suspension, disputes, and lawsuit allegations, eroding credibility. Undisclosed associations and adverse media contribute to a medium-high risk profile, necessitating enhanced due diligence for partners.

Conclusion

In our expert opinion, Chad M. Koehn embodies a seasoned advisor whose innovations are tempered by compliance lapses and contentious allegations. The blockchain entanglements warrant AML scrutiny to prevent inadvertent exposure to illicit activities. Reputationally, the aggregation of red flags—suspensions, disputes, and unverified claims—poses substantial risks, advising caution in associations. We advocate for rigorous vetting to safeguard against potential fallout in a trust-dependent field.

Written by

Kaelen

Updated

4 weeks ago