MP
Michael J. Poole
CETERA INVESTMENT ADVISERS LLC
ROCHELLE PARK, NJ 07662
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CRD#: 1094199
MP
Professional summary
Michael James Poole is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Rochelle Park, New Jersey and CETERA FINANCIAL SPECIALISTS LLC located in Rochelle Park, New Jersey.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Michael has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) ASSOCIATED FINANCIAL SERVICES, INC; NOT INV REL; SALES OF GROUP HEALTH PLANS; SINCE 10/02:
2) SELLS AND RECEIVES RENEWALS LIFE INSURANCE, LONG TERM CARE INSURANCE:
3) M&M ASSOCIATES, LLC; M&M ASSOCIATES LLC; INV RELATED; ROCHELLE PARK, NJ; RECRUITER; REFERRING PARTNER RECRUITING DUTIES; START DATE 11/09; 160 HRS/MTH
4) DBA BGS CAPITAL MANAGEMENT LLC; INVESTMENT RELATED; ADDRESS IS SAME AS REGISTERED LOCATION; DBA FOR FINANCIAL SERVICES; START 1/2008; 20-30 HOURS/WEEK DURING TRADING HOURS; FINANCIAL SERVICES
5) RENTAL PROPERTY; NOT INVESTMENT RELATED; ADDRESS NOT DISCLOSED; START 2/2015; OWNER OF RESIDENTIAL REAL ESTATE PROPERTY;
CRS (Client Relationship Summary) - RIA
Click below to view Michael James Poole'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®
NoneExperience
Current
January 31, 2006 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 201 W Passaic Street Suite 301, Rochelle Park, NJ 07662RIA
CRD#: 105644
ROCHELLE PARK, NJ
Current
October 24, 2005 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 201 West Passaic Street Suite 301, Rochelle Park, NJ 07662BD
CRD#: 10358
Rochelle Park, NJ
Past
February 24, 2000 - October 24, 2005
C. J. M. PLANNING CORP.
BD
CRD#: 5698
POMPTON LAKES, NJ
Past
October 6, 1983 - February 18, 2000
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.RR
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
RR
Florida(1/17/2012)
RR
New Jersey(10/24/2005)
IAR
New Jersey(1/31/2006)
RR
New York(10/24/2005)
RR
North Carolina(7/15/2015)
RR
Virginia(1/3/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
