Chad M. Koehn FINRA Registration History and Public Disclosures

Chad M. Koehn’s full profile, including business relations, undisclosed associations, scam reports, lawsuits, and a detailed risk assessment on anti-money laundering and reputational threats. Uncover factual insights on this financial figure. Chad M. Koehn, we uncover a history marked by regulatory sanctions, customer disputes, and complex legal battles, alongside his roles in investment firms and emerging tech ventures. From personal profiles to potential red flags, this report assesses the implications for anti-money laundering compliance and reputational integrity.

We delve into the multifaceted world of Chad M. Koehn, a figure whose career in finance spans decades and intersects with regulatory scrutiny, legal entanglements, and emerging business landscapes. Our examination reveals a professional trajectory that demands careful analysis, particularly in the context of anti-money laundering protocols and reputational vulnerabilities. As stewards of factual reporting, we piece together public records, disclosures, and associations to paint a comprehensive picture, highlighting both achievements and areas of concern that could impact stakeholders.

Personal Profiles and Open-Source Intelligence (OSINT)

We begin with the foundational elements of Chad M. Koehn’s identity, drawing from publicly available data to construct a baseline profile. Known fully as Chad Mitchell Koehn, he is a 55-year-old resident of Salina, Kansas, with ties to various addresses in the region, including properties linked to trusts and limited liability companies. Our OSINT efforts uncover a man deeply embedded in the financial sector, with a presence that extends into digital spaces. On social platforms, he maintains an active profile under handles like @BTCChadKoehn, where he positions himself as a Bitcoin enthusiast and quotes sentiments critical of traditional currencies, such as labeling the US dollar as “the prettiest horse in the glue factory.” This online persona aligns with his professional bio as CEO of United Capital Management of Kansas, Inc., emphasizing wealth protection and client education.

Further digging into OSINT sources reveals family connections and personal milestones. Koehn is associated with trusts like the Chad M. Koehn Living Trust, which holds real estate interests in Tennessee, suggesting a diversification of assets beyond his primary Kansas base. Public records indicate a history of residency in Salina since the late 1990s, with contact details tied to local phone numbers. His digital footprint includes LinkedIn activity, where he describes himself as owner and CEO of United Capital Trust, focusing on multigenerational wealth strategies. These elements paint Koehn as a family-oriented individual—father and grandfather—with a blend of personal and professional narratives that underscore his commitment to legacy building.

However, OSINT also flags potential overlaps with other entities. For instance, associations with LLCs like Koehn-Busch LLC in Salina hint at entrepreneurial ventures outside his core investment advisory role. We note his involvement in conferences and public speaking, such as appearances at web3 events in Toronto, where he engages with high-profile figures in politics and technology. This broadens his profile into cryptocurrency and blockchain spheres, areas ripe for both innovation and scrutiny. Our analysis of social media interactions shows endorsements of political candidates and economic philosophies, including doubling down on certain public figures, which could influence perceptions of his impartiality in financial advice.

In aggregating this OSINT, we observe a pattern of strategic self-presentation: Koehn curates an image of expertise in alternative investments while maintaining a low-key personal life. Yet, discrepancies in public records—such as varying addresses and entity registrations—warrant deeper exploration into potential undisclosed ties.

Business Relations and Associations

Turning to Koehn’s professional network, we uncover a web of relations centered on the financial services industry. As president and founder of United Capital Management of Kansas, Inc., he oversees operations in investment advisory, with the firm linked to employees like Christopher Keith and Candice in various roles. His career history includes long tenures at firms such as SA Stone Wealth Management Inc. in Salina, Kansas, where he served for 16 years, and Waddell & Reed, Inc. in Overland Park, Kansas, for 11 years prior. These associations position him as a seasoned player with 28 years of experience across two major firms.

Our investigation reveals collaborations in emerging sectors, particularly blockchain and software development. Koehn has been linked to private placements involving companies purporting to own such technologies, facilitating investments from at least 59 individuals, including firm customers. He hosted meetings and introduced investors to founders, though he reportedly received no selling compensation. This ties into broader associations with cryptocurrency advocates, evident in his social media endorsements and participation in consensus conferences.

Additionally, Koehn’s business relations extend to real estate through trusts and LLCs, such as holdings in Tennessee and local Kansas entities. We identify connections to hedge funds like the Redneck High Tech Hedge Fund, mentioned in older reports, suggesting diversified investment strategies. His role in United Capital Trust further associates him with wealth management services aimed at protecting assets across generations.

These relations are not without overlap; for example, his firm’s directory listings in associate member publications highlight ties to banking and financial software sectors. We note potential partnerships in anti-money laundering compliance tools, indirectly linking him to regulatory-focused entities. Overall, Koehn’s associations reflect a blend of traditional finance and innovative tech, but they also raise questions about transparency in cross-sector dealings.

Undisclosed Business Relationships and Associations

In probing deeper, we encounter indications of undisclosed relationships that could skirt regulatory boundaries. A key instance involves Koehn’s participation in private securities transactions without prior firm approval, involving a blockchain-related company. He discussed offerings, hosted presentations, and facilitated investments totaling approximately $1.475 million from 59 individuals, 34 of whom were existing clients. This activity, while not compensated, was not disclosed to his employer, pointing to potential hidden affiliations.

Our review uncovers ties to entities like SAS Strategic Advertising Solutions and figures such as Jonathan Clarke, mentioned in complaints alongside Koehn’s name in hedge fund contexts. These suggest informal networks in advertising and high-tech investments that may not be fully reported in official profiles. Furthermore, real estate holdings through trusts like Chad M. Koehn Living Trust imply associations with property management or investment groups not explicitly linked to his advisory role.

Social media analysis reveals interactions with cryptocurrency communities and political figures, potentially indicating undisclosed advocacy or consulting roles. We also note overlaps with LLCs such as Koehn-Busch, which could represent family or partner ventures not declared in financial disclosures. Such relationships, if not transparent, could amplify risks in compliance-heavy fields like finance.

Scam Reports and Red Flags

Scam reports surrounding Koehn primarily stem from regulatory and customer interactions. One prominent red flag is his suspension related to unauthorized private transactions, raising concerns about potential misleading of investors in blockchain ventures. Older reports link him to alleged fraudulent schemes in hedge funds, with complaints accusing mishandling akin to scams.

We identify patterns in customer complaints, such as allegations of failing to disclose surrender charges or mishandling IRA conversions, which could signal deceptive practices. Adverse media mentions him in contexts of blockchain “scammers” sanctuaries, implying associations with questionable tech figures. These red flags, while not conclusive of scams, highlight areas where vigilance is essential.

Allegations and Complaints

Allegations against Koehn include customer disputes over investment handling. One involved a variable annuity where he allegedly failed to include a guaranteed income rider, leading to a settlement. Another claimed mishandling of IRA placements, resulting in tax increases, though denied. A third alleged non-disclosure of surrender charges, also denied.

Broader complaints tie him to fraud accusations in business dealings, such as in ripoff reports linking him to unfulfilled promises in high-tech funds. These point to a history of contested actions that, accumulated, form a narrative of recurring grievances.

Criminal Proceedings and Lawsuits

Our probe into legal matters reveals involvement in civil lawsuits, notably United Capital Management of Kansas, Inc. v. Nelson, a complex case with counterclaims involving defamation, fraud allegations, and motions for sanctions. The case references pending investigations and labor disputes, with Koehn as plaintiff-counterdefendant. No direct criminal proceedings are evident, though mentions of criminal investigations in related contexts appear in court documents.

Prior appeals in Nevada cases are noted, where Koehn reportedly lost, tied to labor and fraud claims. These lawsuits underscore contentious business practices, with implications for ongoing disputes.

Sanctions and Adverse Media

Sanctions include a FINRA-imposed $10,000 fine and one-year suspension for undisclosed private transactions. Adverse media portrays him in stories of regulatory actions and investigations, including excessive trading parallels and blockchain fraud contexts. No international sanctions are found, but domestic regulatory penalties signal compliance lapses.

Detailed Risk Assessment: Anti-Money Laundering Investigation and Reputational Risks

In assessing risks, we focus on anti-money laundering (AML) and reputational dimensions. Koehn’s involvement in undisclosed private placements, particularly in blockchain, poses AML concerns due to the sector’s opacity and potential for illicit flows. Facilitating $1.475 million in investments without approval could indicate weak due diligence, heightening laundering risks if funds’ origins were unverified.

Reputational risks stem from sanctions and disputes, which could deter clients and partners. Lawsuits alleging fraud amplify perceptions of unreliability. His cryptocurrency advocacy, while trendy, links him to volatile markets prone to scams, exacerbating reputational vulnerabilities.

From an AML perspective, associations with tech firms require enhanced scrutiny under frameworks like those from international coordination bodies. Undisclosed ties could breach reporting obligations, inviting fines or bans.

We recommend robust KYC protocols for any engagements with Koehn, alongside monitoring for emerging disclosures.

Conclusion

In our expert opinion, Chad M. Koehn presents a moderate to high risk profile in AML and reputational contexts. While his experience offers value in advisory roles, the pattern of undisclosed activities, regulatory sanctions, and legal battles outweighs benefits for risk-averse entities. Stakeholders should proceed with caution, prioritizing independent verification to mitigate potential exposures.

Written by

Kaelen

Updated

4 weeks ago