Michael D. Puckett

CFG WEALTH MANAGEMENT SERVICES

Indianapolis, IN 46256

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CRD#: 1022606

Professional summary

Michael Dillard Puckett, CFP®, who also goes by Mike Puckett, is a registered financial advisor currently at CFG WEALTH MANAGEMENT SERVICES INC located in Indianapolis, Indiana.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Michael has worked at 8 firms and has passed the Series 63, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Puckett

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.

Business Name: MDP Professional Services, LLC Not investment related Address: 2240 Arielle Drive, Unit 1806, Naples, FL 34109 Nature of business: outsourced financial planning services Position: Managing Member Start Date of Relationship: 12/2016 Approximately time devoted to this business: 80-120 hours per month Duties: financial planning services

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Dillard Puckett's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Current

July 16, 2009 - Present

CFG WEALTH MANAGEMENT SERVICES INC

Office #1: 9840 Westpoint Drive Suite 150, Indianapolis, IN 46256

RIA

CRD#: 108351

Indianapolis, IN

Past

September 5, 2000 - December 16, 2002

LIFEMARK SECURITIES CORP.

CRD#: 16204

ROCHESTER, NY

Past

April 9, 1999 - December 31, 2003

CFG WEALTH MANAGEMENT SERVICES INC

RIA

CRD#: 108351

INDIANAPOLIS, IN

Past

January 12, 1998 - September 11, 2000

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

January 6, 1989 - December 31, 1997

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

June 10, 1986 - January 30, 1989

KAUFMAN INVESTMENTS CORPORATION

CRD#: 16992

Past

November 12, 1983 - April 19, 1986

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

Past

June 28, 1983 - June 13, 1986

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

Past

January 20, 1982 - June 20, 1983

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(6/10/2011)

IAR

Florida
(4/24/2012)

IAR

Indiana
(7/16/2009)

IAR

Texas
(5/6/2021)

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

State Security Law Exam

Series 63

Date: 1/8/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/21/1984

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 7/21/1982

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 1/8/1982

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CFG WEALTH MANAGEMENT SERVICES INC

CRD#: 108351 / SEC#: 801-26372

RIA

Registered Investment Advisory firm - (6/20/2012 Terminated)

California

Registered Investment Advisory firm - (6/9/2011 Approved)

Florida

Registered Investment Advisory firm - (5/10/2012 Approved)

Indiana

Registered Investment Advisory firm - (4/8/2011 Approved)

Texas

Registered Investment Advisory firm - (4/19/2021 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

9840 Westpoint Drive Suite 150, Indianapolis, IN 46256

Mailing Address

Phone number

(317) 841-7959

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	201
AUM (Assets Under Management)	$ 97,566,362

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
Texas	ERA - Withdrawn	8/16/2012

Red Flags

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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Michael D. Puckett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Dillard Puckett's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIFEMARK SECURITIES CORP.

CFG WEALTH MANAGEMENT SERVICES INC

SECURITIES AMERICA, INC.

MUTUAL SERVICE CORPORATION

KAUFMAN INVESTMENTS CORPORATION

HORNOR, TOWNSEND & KENT, LLC

JOHN HANCOCK DISTRIBUTORS LLC

LINCOLN FINANCIAL DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/8/1982

Series 7

Date: 7/21/1984

Series 22

Date: 7/21/1982

Series 6

Date: 1/8/1982

Current Firm

CFG WEALTH MANAGEMENT SERVICES INC

Contact information

Documents

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

CFG WEALTH MANAGEMENT SERVICES INC

TRUST BUT VERIFY

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