MI
Michael J. Irving
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CRD#: 1026710
MI
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael John Irving, CFP® was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1982. Michael had worked at 8 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
I HOLD THE CHARTERED LIFE UNDERWRITER (CLU) DESIGNATION, GRANTED BY THE AMERICAN COLLEGE. I AM THE DIRECT OWNER OF IRVING PLANNING & INVESTMENTS, LTD, AN INDEPENDENT INVESTMENT ADVISER. I SERVE AS THE TRUSTEE OF THE DEAN & ISABEL KITTLE IRREVOCABLE LIFE INSURANCE TRUST, GRANTORS OF WHICH ARE MY IMMEDIATE FAMILY MEMBERS.
I AM LICENSED FOR ACCIDENT & HEALTH, HEALTH MAINTENANCE ORG., VARIABLE LIFE/VARIABLE ANNUITY.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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®
Start date: 1985
Experience
Past
March 30, 1999 - May 24, 2012
FSC SECURITIES CORPORATION
BD
CRD#: 7461
LAKEWOOD, CO
Past
January 1, 1999 - December 31, 2023
IRVING PLANNING & INVESTMENTS, LTD.
RIA
CRD#: 109978
CENTENNIAL, CO
Past
November 29, 1996 - April 17, 2006
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past
December 12, 1991 - March 25, 1999
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
September 18, 1991 - November 29, 1996
THE GREAT-WEST LIFE ASSURANCE COMPANY
BD
CRD#: 5927
ENGLEWOOD, CO
Past
May 13, 1985 - December 6, 1991
CONSOLIDATED INVESTMENT SERVICES, INC.
BD
CRD#: 7929
LITTLETON, CO
Past
May 10, 1984 - May 20, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
March 29, 1982 - August 27, 1984
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 6695
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
FSC SECURITIES CORPORATION
3GENWEALTH | SPIEGEL FINANCIAL | SMITH MURRAY WEALTH | SITZLER FINANCIAL SERVICES | SHROM ASSOCIATES | SHEA & MCMURDIE RETIREMENT | SHARP FINANCIAL SERVICES | SHARP FINANCIAL | SHAFFER FINANCIAL SERVICES | SEASONS FINANCIAL ADVISORS | SCHMOLKE INVESTMENT TEAM | ROOTED FINANCIAL GROUP | ROCKPORT WEALTH MANAGEMENT | ROBSON PLANNING GROUP | RIVERLINK ADVISORS, LLC | RIVERBEND WEALTH MANAGEMENT | RIDGEGATE INVESTMENT MANAGEMENT | RICHARD HOE INVESTMENTS, LLC | RETIRESOURCE | RETIREMENT PLANNING & INVESTMENT SERVICES | R.J. WELSCH & ASSOCIATES, INC. | PROLIFIC WEALTH | PRICE FINANCIAL GROUP | PORTER KICKHAM, INC. | PIERCE & ASSOCIATES | PHRONETIC RETIREMENT ADVISORS | PENSURE GROUP | PATEL WEALTH STRATEGIES | PARK WEALTH ADVISORS | PAOLINI ADVISORS, LLC | OPTIMIZE CAPITAL MANAGEMENT | ONLY RETIRMENT | O'QUIN FIANNCIAL GROUP | O'BRIEN PLANNING STRATEGIES | NTUNE FINANCIAL GROUP | NORTHWEST GENERAL INSURANCE AND FINANCIAL SERVICES | NETTWORTH FINANCIAL GROUP | NETTUNO WEALTH MANAGEMENT | NETTUNO GROUP | MOUNTAIN CAPITAL | MOTTAU, ICENHOWER & ASSOCIATES | MOORESTREET FINANCIAL GROUP, LLC | MILLION WEALTH MANAGEMENT | MI401K RETIREMENT PLAN CONSULTANTS | MG RETIREMENT ADVISORS | MERRITT WEALTH STRATEGIES | MEFFORD WEALTH MANAGEMENT | MCKELL FINANCIAL GROUP | MAGNOLIA CAPITAL PARTNERS | MAGELLAN INVESTMENT ADVISORY SERVICES | LUMEN FINANCIAL GROUP | LUKE FORD FINANCIAL | LOVELL WEALTH MANAGEMENT | LONE STAR WEALTH MANAGEMENT | LILY WEALTH PARTNERS | LIANG CAPITAL ADVISORS | LESHNAK WEALTH | LENZE CAPITAL | LEGACY FINANCIAL SERVICES GROUP | KRAMER WEALTH MANAGERS | KNIGHTSBRIDGE FINANCIAL | KIDDER FINANCIAL GROUP | KEYSTONE FINANCIAL GROUP | KAVOCS FINANCIAL SOLUTIONS | KALYX CAPITAL MANAGEMENT | KALIS FINANCIAL | JIL FINANCIAL SERVICES, LLC | JAMES R. K. HARDY & ASSOCIATES | JAG FINANCIAL | IRVING FAMILY RETIREMENT PLANNING | INVESTMENT CAPITAL ADVISORS | INTEGRITY WEALTH ADVANTAGE | INDEPENDENT CAPITAL MANAGEMENT | IGRYPHON CAPITAL GROUP | HUSTAD WEALTH MANAGEMENT | HPK PROVIDENT ADVISORS | HOWARD WEALTH MANAGEMENT | HONOR CAPITAL | HOLMES MANAGEMENT LLC | HELMSMAN FINANCIAL PARTNERS | HARRIS & PRATT WELATH MANAGEMENT | HANZICH CONSULTING INC. | GRYPHON WEALTH MANAGEMENT | GRYPHON INSTITUTE | GREGORY A CROSBY, CFP | GREAT LAKES 401K | GOLDMAN HARRIS PRATT & ASSOCIATES WEALTH MANAGEMENT | GOLDMAN & ASSOCIATES WEALTH MANAGEMENT | GMBP WEALTH MANAGEMENT | GEM WEALTH PLANNING GROUP | FUNKHOUSER SHAFFER FINANCIAL SERVICES | FSC SECURITIES CORPORATION | FREEDOM ONE ADVISOR GROUP | FRAMEWORK FINANCIAL PLANNING | FINANCIAL SUCCESS STRATEGIES | FINANCIAL STRATEGIES GROUP | FINANCIAL SOLUTIONS GROUP | FINANCIAL INSIGHTS | FINANCIAL INDEPENDENCE LLC | FIDUCIARYADVISOR | FEDERAL EMPLOYEE BENEFITS | FAIRWINDS WEALTH MANAGEMENT | EFC WEALTH MANAGEMENT | EBERT ASSOCIATES | DLUZAK & ASSOCIATES, INC. | DIVERSIFIED FINANCIAL GROUP | DISEKER & COMPANY | DESTINY FINANCIAL GROUP | DELLINGER WEALTH MANAGEMENT | DECILIO FINANCIAL ADVISORS | DBW FINANCIAL SERVICES | CTM FINANCIAL GROUP, INC | CROSBY, TREVINO & ASSOCIATES, LLC | CRESTAR WEALTH MANAGEMENT | CREATIVE PENSION PLANS, INC. | CORNERSTONE WEALTH MANAGEMENT | COOLEY WEALTH MANAGEMENT | CONTINUUM FINANCIAL GROUP | CONSUS WEALTH MANAGEMENT, LLC | CONSCIOUS CAPITAL LLC | CONSCIOUS CAPITAL | COMPLO FINANCIAL SERVICES | CITADEL FINANCIAL & RETIREMENT SOLUTIONS. LLC | CITADEL FINANCIAL & RETIREMENT SOLUTIONS, LLC | CHERRINGTON BROTSKY CONSCIOUS CAPITAL | CHERRINGTON BROTSKY | CENTRUY FINANCIAL ADVISORS | CENTERPOINTE ADVISERS | CEBERT WEALTH MANAGEMENT | CARROLL ENTERPRISES LLC | CAROLINA WEALTH STEWARDSHIP GROUP | CAPITAL RESOURCE MANAGEMENT | CAPITAL ASSET MANAGEMENT | BROADVIEW FINANCIAL GROUP | BRENNAN & STUART, INC. | BRAD MILLS WEALTH MANAGEMENT | BOYD INVESTMENT SERVICES | BOUNDARY ROCK FINANCIAL GROUP | BLISS FINANCIAL SERVICES | BESSELMAN WEALTH PLANNERS | BEANE ATKINSON FINANCIAL SERVICES | BDL ADVISORS, LLC | BDL ADVISORS | BANYAN, ROCK, AND TALENT WEALTH STRATEGISTS | ATS | ARCH WEALTH MANAGEMENT | ARBEITER & BADIUK | ANDERSON WEALTH ADVISORS, LLC | ANDERSON WEALTH ADVISORS | AEGIS FINANCIAL GROUP, INC. | ADVANCED TRUSTEE STRATEGIES...
CRD#: 7461 / SEC#: 801-42017, 8-21770
BD
Terminated by SEC on 01/05/2024
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Contact information
Main Address
2300 Windy Ridge Pkwy Suite 750, Atlanta, GA 30339
Mailing Address
Phone number
+1 (800) 547-2382
Established
Delaware since 05/04/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
2,174
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINANCIAL SERVICE CORPORATION | SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| GERB, JASON | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HAMEL, CYNTHIA ANN | EVP, CHIEF OPERATIONS OFFICER | 3014361 |
| HAMMOND, DORI JAMILLE | VP, CHIEF COMPLIANCE OFFICER | 3259012 |
| NORTHRIP, IRYNA YAKOVLEVNA | SVP, CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY | 6466657 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EVP, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Regulatory assets under management
| Total Number of Accounts | 52,792 |
| AUM (Assets Under Management) | $ 11,745,651,239 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 16 |
| Bond | 8 |
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.
