Michael C. Moller

DSM FINANCIAL L.L.C.

Urbandale, IA 50322

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CRD#: 1157546

Professional summary

Michael Charles Moller, who also goes by Mike Moller, is a registered financial advisor currently at DSM FINANCIAL L.L.C. located in Urbandale, Iowa.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Michael has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Moller

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.

MIKE MOLLER AGENT; INVESTMENT RELATED; SAME AS REGISTERED ADDRESS; LIFE INSURANCE; AGENT; STARTED 1/1/1987; APX 60 HOURS/MONTH, 5 DURING TRADING; WRITE TERM AND WHOLE LIFE INSURANCE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Charles Moller'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®

None

Experience

Current

July 15, 2019 - Present

DSM FINANCIAL L.L.C.

Office #1: 3309 109th Street, Urbandale, IA 50322

RIA

CRD#: 301372

Urbandale, IA

Past

September 13, 2017 - July 12, 2019

CREATIVEONE WEALTH, LLC

RIA

CRD#: 281213

ANKENY, IA

Past

September 2, 2016 - September 19, 2017

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

Urbandale, IA

Past

September 1, 2016 - September 19, 2017

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

URBANDALE, IA

Past

April 1, 2009 - September 1, 2016

VSR FINANCIAL SERVICES, INC.

RIA

CRD#: 14503

URBANDALE, IA

Past

April 1, 2009 - September 1, 2016

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

URBANDALE, IA

Past

July 1, 2004 - April 6, 2009

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

URBANDALE, IA

Past

July 1, 2004 - April 6, 2009

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

URBANDALE, IA

Past

January 15, 2004 - August 26, 2004

STEELE CAPITAL MANAGEMENT, INC.

RIA

CRD#: 107097

CLIVE, IA

Past

May 3, 1999 - July 1, 2004

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

August 4, 1997 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

May 20, 1989 - August 19, 1997

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

January 1, 1988 - August 19, 1997

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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

Iowa
(7/15/2019)

IAR

Kansas
(9/11/2019)

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 65

Date: 1/12/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/30/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/19/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/23/1987

Investment Company Products/Variable Contracts Representative Examination

Current Firm

DSM FINANCIAL L.L.C.

CRD#: 301372 / SEC#:

Iowa

Registered Investment Advisory firm - (6/3/2019 Approved)

Kansas

Registered Investment Advisory firm - (9/11/2019 Approved)

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Contact information

Main Address

3309 109th Street, Urbandale, IA 50322

Mailing Address

Phone number

(515) 331-1717

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

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Michael C. Moller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Charles Moller's CRS (Customer Relationship Summary).

Certified licenses

Experience

CREATIVEONE WEALTH, LLC

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

STEELE CAPITAL MANAGEMENT, INC.

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/12/2004

Series 63

Date: 11/30/1987

SIE

Date: 9/19/2017

Series 6

Date: 12/23/1987

Current Firm

DSM FINANCIAL L.L.C.

Contact information

Documents

Red Flags

Company Information

DSM FINANCIAL L.L.C.

TRUST BUT VERIFY

Contact information

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