Michael B. Haney

GRADIENT SECURITIES

Lexington, KY 40503

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CRD#: 1133168

Professional summary

Michael B Haney, who also goes by Michael Bernard Haney III, Michael Bernard Haney, Mike Haney, is a registered financial advisor currently at GRADIENT SECURITIES, LLC located in Lexington, Kentucky.

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 13 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Bernard Haney Iii | Michael Bernard Haney | Mike Haney

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). Haney Financial Associates,Investment Related,"114 Dennis Drive, Suite 2, Lexington, KY, 40503, United States",Life and Health Insurance Sales,Owner,1982-01-01,20 hours per month,0 hours per month during trading hours,Commission Compensation,Business and Personal Sales of Life and Disability Insurance 2). Wellington Townhome Association,Is Not Investment Related,,Payment of Association Dues,Treasurer,2023-05-01,3 hours per month,0 hours per month during trading hours,No Compensation Compensation,"Collect Homeowner's association dues and deposit to bank; pay regular bills including insurances, landscaping fees, local taxes"

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael B Haney's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Michael B Haney'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®

None

Experience

Current

March 18, 2024 - Present

GRADIENT SECURITIES, LLC

Office #1: 114 Dennis Dr Suite 2, Lexington, KY 40503

RIA

CRD#: 127701

Lexington, KY

Current

March 18, 2024 - Present

GRADIENT SECURITIES, LLC

Office #1: 114 Dennis Dr Suite 2, Lexington, KY 40503

RIA

CRD#: 127701

Lexington, KY

Past

March 1, 2023 - March 15, 2024

SILVER OAK SECURITIES, INCORPORATED

RIA

CRD#: 46947

Lexington, KY

Past

March 1, 2023 - March 15, 2024

SILVER OAK SECURITIES, INCORPORATED

CRD#: 46947

Lexington, KY

Past

October 22, 2020 - March 1, 2023

PLANMEMBER SECURITIES CORPORATION

RIA

CRD#: 11869

Lexington, KY

Past

October 21, 2020 - March 1, 2023

PLANMEMBER SECURITIES CORPORATION

CRD#: 11869

Lexington, KY

Past

June 29, 2017 - October 22, 2020

GRADIENT SECURITIES, LLC

RIA

CRD#: 127701

Lexington, KY

Past

June 29, 2017 - October 22, 2020

GRADIENT SECURITIES, LLC

CRD#: 127701

Lexington, KY

Past

May 1, 2015 - June 29, 2017

USA FINANCIAL SECURITIES LLC

RIA

CRD#: 103857

Lexington, KY

Past

May 1, 2015 - June 29, 2017

USA FINANCIAL SECURITIES LLC

CRD#: 103857

Lexington, KY

Past

February 1, 2012 - May 4, 2015

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

LEXINGTON, KY

Past

March 29, 2010 - May 4, 2015

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

LEXINGTON, KY

Past

January 29, 2008 - March 29, 2010

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

LEXINGTON, KY

Past

May 28, 2004 - March 29, 2010

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

LEXINGTON, KY

Past

April 4, 2002 - May 17, 2004

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LINCOLN, NE

Past

May 16, 2001 - April 24, 2002

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

May 23, 2000 - May 10, 2001

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

January 18, 1999 - May 22, 2000

SUNSET FINANCIAL SERVICES, INC.

CRD#: 3538

KANSAS CITY, MO

Past

August 27, 1996 - January 14, 1999

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

April 20, 1993 - September 5, 1996

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

CINCINNATI, OH

Past

April 8, 1992 - May 7, 1993

NORTH AMERICAN MANAGEMENT, INC.

CRD#: 624

SIOUX FALLS, SD

Past

June 16, 1983 - April 2, 1992

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

GRADIENT SECURITIES, LLC

GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT

CRD#: 127701 / SEC#: 801-80807, 8-66032

RIA

Registered Investment Advisory firm - SEC (1/8/2015 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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

Florida
(3/18/2024)

Kentucky
(3/18/2024)

IAR

Kentucky
(3/18/2024)

Ohio
(6/11/2024)

South Carolina
(3/18/2024)

IAR

South Carolina
(3/18/2024)

Tennessee
(3/28/2024)

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: 6/29/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/15/1983

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

GRADIENT SECURITIES, LLC

GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT

CRD#: 127701 / SEC#: 801-80807, 8-66032

RIA

Registered Investment Advisory firm - SEC (1/8/2015 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

4105 Lexington Avenue Suite 380, Arden Hills, MN 55126

Mailing Address

4105 Lexington Avenue Suite 380, Arden Hills, MN 55126

Phone number

(866) 991-1539

Established

Delaware since 04/09/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

GWM ADV PART 2A & 2B (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
MERAKI PRIVATE EQUITY, LLC	OWNER
JOCHUM, JAMIE LEE	FINOP	4459768
LUCIUS, CHARLES EDWARD	OWNER MERAKI PRIVATE EQUITY, LLC	1012912
LUCIUS, TAMI JEAN	OWNER MERAKI PRIVATE EQUITY, LLC	2371362
NELSON, ROBERT SCOTT	PRESIDENT & ELECTED MANAGER	4237080
REMME, BRIAN ANDREW	CHIEF COMPLIANCE OFFICER	3103459

Regulatory assets under management

Total Number of Accounts	7,322
AUM (Assets Under Management)	$ 591,069,287

Disclosures

Regulatory Event

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 B. Haney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael B Haney's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Michael B Haney's CRS (Customer Relationship Summary).

Certified licenses

Experience

GRADIENT SECURITIES, LLC

SILVER OAK SECURITIES, INCORPORATED

SILVER OAK SECURITIES, INCORPORATED

PLANMEMBER SECURITIES CORPORATION

PLANMEMBER SECURITIES CORPORATION

GRADIENT SECURITIES, LLC

GRADIENT SECURITIES, LLC

USA FINANCIAL SECURITIES LLC

USA FINANCIAL SECURITIES LLC

ON INVESTMENT MANAGEMENT CO

THE O.N. EQUITY SALES COMPANY

ON INVESTMENT MANAGEMENT CO

THE O.N. EQUITY SALES COMPANY

ALLSTATE FINANCIAL SERVICES, LLC

LOCUST STREET SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

SUNSET FINANCIAL SERVICES, INC.

1717 CAPITAL MANAGEMENT COMPANY

THE O.N. EQUITY SALES COMPANY

NORTH AMERICAN MANAGEMENT, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

GRADIENT SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/29/1983

SIE

Date: 10/1/2018

Series 6

Date: 6/15/1983

FINRA

Current Firm

GRADIENT SECURITIES, LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GRADIENT SECURITIES, LLC

TRUST BUT VERIFY

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