Michael C. Mcnabb

SVB WEALTH

BOSTON, MA 02109

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CRD#: 1134091

Professional summary

Michael C Mcnabb, who also goes by Michael Charles Mcnabb, Michael Charles Ncnabb, is a registered financial advisor currently at SVB WEALTH located in Boston, Massachusetts.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Michael has worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Charles Mcnabb | Michael Charles Ncnabb

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.

Rental property; owner of investment property, 5 individual condos rentals, management needs, outsourced to a professional service firm; start 1/10/1992; O hours per month; 0 hours during trading hours. First Citizens Investor Services; 8540 Colonnade Center Drive Raleigh, NC 27615; Wealth Consultant, start date 8/5/2025; FCIS is a division of my current full time employer. i am a SVBW registered associate becoming registered with FCIS. 40 hours/week.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael C Mcnabb'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

July 24, 2019 - Present

SVB WEALTH

Office #1: 53 State Street 28th Floor, Boston, MA 02109

RIA

CRD#: 172832

BOSTON, MA

Past

February 10, 2017 - July 3, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

BOSTON, MA

Past

September 27, 2016 - July 3, 2019

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

BOSTON, MA

Past

October 12, 2010 - July 24, 2013

APPLE LANE ADVISORY, LLC

RIA

CRD#: 154808

LEXINGTON, MA

Past

July 20, 2010 - July 24, 2013

APPLE LANE GROUP LLC

CRD#: 129331

BOSTON, MA

Past

February 14, 2008 - October 26, 2010

COMPASS CAPITAL CORPORATION

RIA

CRD#: 112323

BRAINTREE, MA

Past

March 26, 2007 - July 21, 2010

COMPASS SECURITIES CORPORATION

CRD#: 16168

BRAINTREE, MA

Past

January 25, 2005 - December 20, 2005

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

October 26, 1992 - July 1, 2003

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

CRD#: 30107

BOSTON, MA

Past

June 1, 1983 - March 5, 1984

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

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".

SVB WEALTH

CRD#: 172832 / SEC#: 801-80480

RIA

Registered Investment Advisory firm - (10/2/2014 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.

Highlighted states indicate IAR registrations

IAR

California
(5/23/2024)

IAR

Connecticut
(5/22/2024)

IAR

Iowa
(5/24/2024)

IAR

Massachusetts
(7/24/2019)

IAR

New Hampshire
(5/23/2024)

IAR

New York
(5/22/2024)

IAR

Texas
(5/23/2024)

IAR

Vermont
(5/22/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/26/2017

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/7/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/23/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/25/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/22/1992

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SVB WEALTH

CRD#: 172832 / SEC#: 801-80480

RIA

Registered Investment Advisory firm - (10/2/2014 Approved)

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Contact information

Main Address

53 State Street 28th Floor, Boston, MA 02109

Mailing Address

Po Box 27131, Raleigh, NC 27611

Phone number

(617) 223-0200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SVB WEALTH LLC (3/30/2025)

SVB WEALTH LLC APPENDIX 1/ WRAP BROCHURE (3/30/2025)

Regulatory assets under management

Total Number of Accounts	3,739
AUM (Assets Under Management)	$ 4,983,411,995

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/21/2025	Cover Page	Report
09/20/2024	Cover Page	Report
10/31/2022	Cover Page	Report

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 C. Mcnabb

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael C Mcnabb's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

APPLE LANE ADVISORY, LLC

APPLE LANE GROUP LLC

COMPASS CAPITAL CORPORATION

COMPASS SECURITIES CORPORATION

CITICORP INVESTMENT SERVICES

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

SVB WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 1/26/2017

Series 65

Date: 2/7/2008

Series 63

Date: 10/23/1992

SIE

Date: 10/1/2018

Series 7

Date: 6/25/2004

Series 6

Date: 10/22/1992

Current Firm

SVB WEALTH

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SVB WEALTH

TRUST BUT VERIFY

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