Michael J. Brandone

ASSET ALLOCATION STRATEGIES

FRISCO, TX

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CRD#: 1023456

Professional summary

Michael John Brandone, CFP®, ChFC®, CLU®, who also goes by Mike Brandone, is a registered financial advisor currently at ASSET ALLOCATION STRATEGIES, LLC located in Frisco, Texas and GLP INVESTMENT SERVICES, LLC located in Farmington, Michigan.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Michael has worked at 20 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 22, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Brandone

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Brandone's CRS (Customer Relationship Summary).

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

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

January 3, 2019 - Present

ASSET ALLOCATION STRATEGIES, LLC

RIA

CRD#: 152339

FRISCO, TX

Current

January 3, 2019 - Present

GLP INVESTMENT SERVICES, LLC

Office #1: 33335 Grand River, Farmington, MI 48336

CRD#: 25450

Farmington, MI

Past

July 17, 2017 - December 13, 2018

TRUTORO

CRD#: 169291

CONWAY, AR

Past

July 13, 2017 - December 13, 2018

TRUTORO

RIA

CRD#: 169291

Frisco, TX

Past

May 22, 2017 - July 19, 2017

CAITLIN JOHN, LLC

RIA

CRD#: 154494

FRISCO, TX

Past

September 16, 2013 - May 26, 2015

EAGLE FINANCIAL ADVISORS, LLC

RIA

CRD#: 167696

FRISCO, TX

Past

May 24, 2013 - December 22, 2014

CALTON & ASSOCIATES, INC.

RIA

CRD#: 20999

FRISCO, TX

Past

May 3, 2013 - July 27, 2015

CALTON & ASSOCIATES, INC.

CRD#: 20999

FRISCO, TX

Past

August 22, 2011 - April 1, 2013

QUESTAR ASSET MANAGEMENT, INC.

RIA

CRD#: 133358

MINNEAPOLIS, MN

Past

August 22, 2011 - April 1, 2013

QUESTAR CAPITAL CORPORATION

CRD#: 43100

BOISE, ID

Past

February 9, 2010 - August 23, 2011

SIGNATOR FINANCIAL SERVICES, INC.

RIA

CRD#: 19061

BOISE, ID

Past

February 8, 2010 - August 23, 2011

SIGNATOR FINANCIAL SERVICES, INC.

CRD#: 19061

BOISE, ID

Past

December 10, 2008 - December 31, 2009

TORREY PINES SECURITIES, INC.

RIA

CRD#: 17120

DEL MAR, CA

Past

December 10, 2008 - December 31, 2009

TORREY PINES SECURITIES, INC.

CRD#: 17120

DEL MAR, CA

Past

May 3, 2006 - February 19, 2008

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

CARLSBAD, CA

Past

August 26, 2003 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

CARLSBAD, CA

Past

August 26, 2003 - February 19, 2008

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

CARLSBAD, CA

Past

October 21, 1999 - August 27, 2003

INVESTORS BROKERAGE SERVICES, INC.

CRD#: 4257

ELGIN, IL

Past

March 4, 1996 - March 1, 1999

AETNA FINANCIAL SERVICES, INC.

CRD#: 13255

HARTFORD, CT

Past

October 15, 1993 - March 1, 1999

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

August 2, 1990 - October 15, 1993

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

HARTFORD, CT

Past

November 10, 1986 - July 16, 1990

LIFEMARK SECURITIES CORP.

CRD#: 16204

ROCHESTER, NY

Past

January 5, 1982 - October 10, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

January 5, 1982 - October 14, 1986

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

January 5, 1982 - October 14, 1986

IDS LIFE INSURANCE COMPANY

CRD#: 6321

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ASSET ALLOCATION STRATEGIES, LLC

CRD#: 152339 / SEC#: 801-106707

RIA

Registered Investment Advisory firm - (9/28/2015 Approved)

Massachusetts

Registered Investment Advisory firm - (3/30/2021 Terminated)

Michigan

Registered Investment Advisory firm - (3/30/2021 Terminated)

Vermont

Registered Investment Advisory firm - (6/14/2018 Terminated)

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).

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(2/24/2025)

Georgia
(12/11/2020)

Michigan
(7/3/2019)

Mississippi
(1/8/2025)

New Mexico
(7/3/2019)

Oklahoma
(2/24/2025)

Texas
(1/3/2019)

IAR

Texas
(1/3/2019)

Virginia
(12/16/2020)

Washington
(1/29/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 3/6/1997

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/1/1996

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/21/1986

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 6/4/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 12/15/1981

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/21/1997

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 1/28/1994

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

ASSET ALLOCATION STRATEGIES, LLC

CRD#: 152339 / SEC#: 801-106707

RIA

Registered Investment Advisory firm - (9/28/2015 Approved)

Massachusetts

Registered Investment Advisory firm - (3/30/2021 Terminated)

Michigan

Registered Investment Advisory firm - (3/30/2021 Terminated)

Vermont

Registered Investment Advisory firm - (6/14/2018 Terminated)

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Contact information

Main Address

33335 Grand River, Farmington, MI 48336

Mailing Address

Phone number

(248) 489-0101

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ASSET ALLOCATION STRATEGIES, LLC FORM 2A 2025 (3/20/2025)

Regulatory assets under management

Total Number of Accounts	3,883
AUM (Assets Under Management)	$ 767,431,598

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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Advisor Monitoring

Firm Stability Insights

Michael J. Brandone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Brandone's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLP INVESTMENT SERVICES, LLC

TRUTORO

TRUTORO

CAITLIN JOHN, LLC

EAGLE FINANCIAL ADVISORS, LLC

CALTON & ASSOCIATES, INC.

CALTON & ASSOCIATES, INC.

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

SIGNATOR FINANCIAL SERVICES, INC.

SIGNATOR FINANCIAL SERVICES, INC.

TORREY PINES SECURITIES, INC.

TORREY PINES SECURITIES, INC.

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

INVESTORS BROKERAGE SERVICES, INC.

AETNA FINANCIAL SERVICES, INC.

VOYA FINANCIAL PARTNERS, LLC

AETNA LIFE INSURANCE AND ANNUITY COMPANY

LIFEMARK SECURITIES CORP.

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

Primary Firm SEC Registration

ASSET ALLOCATION STRATEGIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/6/1997

Series 65

Date: 8/1/1996

SIE

Date: 10/1/2018

Series 7

Date: 6/21/1986

Series 22

Date: 6/4/1984

Series 6

Date: 12/15/1981

Series 24

Date: 4/21/1997

Series 26

Date: 1/28/1994

FINRA

Current Firm

ASSET ALLOCATION STRATEGIES, LLC

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASSET ALLOCATION STRATEGIES, LLC

TRUST BUT VERIFY

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