Michael W. Innes

Some features on this profile are disabled

CRD#: 1047197

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 Whetstone Innes, who also goes by Mike Innes, 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 7TO, Series 6TO, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mike Innes

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.

Blog Corner

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®

None

Experience

Past

January 27, 2021 - December 19, 2022

WMG FINANCIAL ADVISORS, LLC

RIA

CRD#: 285824

HUNTSVILLE, AL

Past

January 25, 2021 - January 25, 2021

WMG FINANCIAL ADVISORS, LLC

RIA

CRD#: 285824

HUNTSVILLE, AL

Past

March 1, 2016 - January 6, 2021

OSAIC FA, INC.

RIA

CRD#: 3978

HUNTSVILLE, AL

Past

March 1, 2016 - January 6, 2021

OSAIC FA, INC.

CRD#: 3978

HUNTSVILLE, AL

Past

April 1, 2013 - February 8, 2016

M HOLDINGS SECURITIES, INC.

CRD#: 43285

HUNTSVILLE, AL

Past

February 10, 2006 - April 11, 2013

OSAIC FS, INC.

CRD#: 3870

HUNTSVILLE, AL

Past

April 29, 2005 - December 31, 2005

ESSEX SECURITIES LLC

CRD#: 46605

JERSEY CITY, NJ

Past

November 15, 2000 - April 29, 2005

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

Past

June 21, 1982 - September 21, 2000

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

June 21, 1982 - September 21, 2000

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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".

WMG FINANCIAL ADVISORS, LLC

DAVIS WEALTH PARTNERS | WMG FINANCIAL ADVISORS, LLC | LEGACY WEALTH MANAGEMENT | KAIZEN RETIREMENT PLAN CONSULTANTS, LLC

CRD#: 285824 / SEC#: 801-116718

RIA

Registered Investment Advisory firm - (6/4/2019 Approved)

Florida

Registered Investment Advisory firm - (8/16/2019 Terminated)

Georgia

Registered Investment Advisory firm - (8/23/2019 Terminated)

Louisiana

Registered Investment Advisory firm - (8/19/2019 Terminated)

Mississippi

Registered Investment Advisory firm - (8/16/2019 Terminated)

Tennessee

Registered Investment Advisory firm - (8/19/2019 Terminated)

Texas

Registered Investment Advisory firm - (8/16/2019 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 11/3/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/30/2022

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 9/30/2022

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/23/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/15/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 9/30/2022

Investment Company Products/Variable Contracts Principal Examination

Current Firm

WMG FINANCIAL ADVISORS, LLC

DAVIS WEALTH PARTNERS | WMG FINANCIAL ADVISORS, LLC | LEGACY WEALTH MANAGEMENT | KAIZEN RETIREMENT PLAN CONSULTANTS, LLC

CRD#: 285824 / SEC#: 801-116718

RIA

Registered Investment Advisory firm - (6/4/2019 Approved)

Florida

Registered Investment Advisory firm - (8/16/2019 Terminated)

Georgia

Registered Investment Advisory firm - (8/23/2019 Terminated)

Louisiana

Registered Investment Advisory firm - (8/19/2019 Terminated)

Mississippi

Registered Investment Advisory firm - (8/16/2019 Terminated)

Tennessee

Registered Investment Advisory firm - (8/19/2019 Terminated)

Texas

Registered Investment Advisory firm - (8/16/2019 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

620 Mabry Hood Road Suite 101, Knoxville, TN 37932

Mailing Address

Phone number

(865) 290-4000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-WMG FINANCIAL ADVISORS, LLC (10/29/2025)

WMG FINANCIAL ADVISORS WRAP PROGRAM BROCHURE, LLC (10/3/2025)

Regulatory assets under management

Total Number of Accounts	1,940
AUM (Assets Under Management)	$ 614,890,081

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael W. Innes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WMG FINANCIAL ADVISORS, LLC

OSAIC FA, INC.

OSAIC FA, INC.

M HOLDINGS SECURITIES, INC.

OSAIC FS, INC.

ESSEX SECURITIES LLC

AMERICAN GENERAL SECURITIES INCORPORATED

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

WMG FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/3/1986

Series 7TO

Date: 9/30/2022

Series 6TO

Date: 9/30/2022

SIE

Date: 10/1/2018

Series 7

Date: 7/23/1999

Series 6

Date: 6/15/1982

Series 26

Date: 9/30/2022

Current Firm

WMG FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WMG FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors