Michael Robert Kavanagh
Professional Summary
Michael Robert Kavanagh, who also goes by Michael Kavanagh, was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1982 - 2018. Michael had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Michael Kavanagh
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
44 years in the financial services industry
Current & Past Employments
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Current Firm
ANDREW GARRET, INC | MIDWEST DISCOUNT BROKERS INC. | MIDWEST DISCOUNT BROKERS | ANDREW GARRETT, INC. | ANDREW GARRETT INC.
Contact Information
Main Address
230 Park Ave 3rd Floor West, New York, NY 10169Mailing Address
230 Park Ave 3rd Floor West, New York, NY 10169Phone Number
(212) 682-8833Established
Delaware since 04/19/2006Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
14SEC notice filing (34 States and Territories)
Registered to provide investment advisory services in 34 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 34 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANDREW GARRETT HOLDING CORP | OWNER | — |
| ESTATE OF JESSE UPCHURCH | SHARE HOLDER | — |
| PLAINS CAPITAL BANK | EXECUTOR OF ESTATE | — |
| CANNIZZARO-FONG, JANNELLE LYNN | CHIEF FINANCIAL OFFICER/FINOP | 4249300 |
| MAURER, MARK HENRY | CHIEF COMPLIANCE OFFICER | 1496683 |
| MITCHELL, JAMES ROBERT JR | CHIEF ADMINISTRATIVE OFFICER | 1374268 |
| SCHAFFER, ROBERT NATHAN | CHEIF OPERATING OFFICER | 4709587 |
| SYCOFF, ANDREW GARRETT | CHIEF EXECUTIVE OFFICER/DIRECTOR | 2119089 |
Regulatory Assets Under Management
Total Number of Accounts
1,122AUM (Assets Under Management)
$521,347,399Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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Primary Firm SEC Registration
ANDREW GARRET, INC | MIDWEST DISCOUNT BROKERS INC. | MIDWEST DISCOUNT BROKERS | ANDREW GARRETT, INC. | ANDREW GARRETT INC.
State Registrations and Notice Filings
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 1981About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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