Michael B. Mulvihill

OSAIC WEALTH

San Jose, CA 95117

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CRD#: 1219059

Professional summary

Michael Boyd Mulvihill, CFP® is a registered financial advisor currently at OSAIC WEALTH, INC. located in San Jose, California.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Michael has worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 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. SPF CORPORATE RIA, YES, 4030 MOORPARK AVE, STE 120, SAN JOSE CA 95117, INVESTMENT ADVISORY, IAR SINCE 5/06, DOING V2A. 2. MICHAEL B MULVIHILL POSITION: Owner - NATURE: Sole Proprietorship - INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 3 START DATE: 09/30/1984 ADDRESS: 4030 Moorpark Ave. Ste. 120, San Jose, CA 95117, San ;Jose, CA 95117, United States DESCRIPTION: Sales of fixes annuities and term life insurance 3) BOYD TAX COUNSELORS, INC POSITION: Owner - NATURE: Other - Income Tax preparation Boyd Tax Counselors, Inc. INVESTMENT RELATED: No NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 5 START DATE: 01/15/1974 ADDRESS: 4030 Moorpark Ave. Ste. 120, San Jose, CA 95117, San Jose CA 95117, United States DESCRIPTION: Personal and Corporation Income Tax Preparation

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Boyd Mulvihill's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Michael Boyd Mulvihill'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®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Current

September 1, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 4030 Moorpark Ave Ste 120, San Jose, CA 95117

RIA

CRD#: 23131

San Jose, CA

Current

September 1, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 4030 Moorpark Ave Ste 120, San Jose, CA 95117

RIA

CRD#: 23131

San Jose, CA

Past

May 23, 2006 - September 1, 2023

OSAIC SERVICES, INC.

RIA

CRD#: 133763

SAN JOSE, CA

Past

October 31, 2005 - September 1, 2023

OSAIC SERVICES, INC.

CRD#: 133763

SAN JOSE, CA

Past

May 19, 1992 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

October 31, 1988 - May 19, 1992

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CRD#: 5774

Past

September 12, 1988 - October 31, 1988

CHRISTOPHER WEIL & COMPANY, INC

CRD#: 6566

Past

February 20, 1987 - December 12, 1988

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

Past

February 20, 1987 - December 12, 1988

EQUITABLE ADVISORS, LLC

CRD#: 6627

Past

January 5, 1984 - September 28, 1988

FREEMAN FINANCIAL SERVICES CORPORATION

CRD#: 6722

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver 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

Alabama
(9/1/2023)

Alaska
(9/1/2023)

Arizona
(9/1/2023)

California
(9/1/2023)

IAR

California
(9/1/2023)

Colorado
(9/1/2023)

Florida
(9/1/2023)

Georgia
(9/1/2023)

Hawaii
(9/1/2023)

Idaho
(9/1/2023)

Indiana
(9/1/2023)

Iowa
(9/1/2023)

Kansas
(9/1/2023)

Kentucky
(9/1/2023)

Maryland
(9/1/2023)

Missouri
(9/1/2023)

Montana
(9/1/2023)

Nevada
(9/1/2023)

New Hampshire
(4/5/2024)

New Mexico
(9/1/2023)

New York
(9/1/2023)

North Carolina
(9/1/2023)

Ohio
(10/8/2025)

Oregon
(9/1/2023)

South Carolina
(9/1/2023)

South Dakota
(9/1/2023)

Tennessee
(9/1/2023)

Texas
(9/1/2023)

Utah
(9/1/2023)

Virginia
(9/1/2023)

Washington
(9/1/2023)

IAR

Washington
(9/1/2023)

Wisconsin
(9/1/2023)

Wyoming
(9/1/2023)

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

IAR

Series 65

Date: 10/19/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/20/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/21/1984

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/4/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 9/10/2003

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/4/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	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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Michael B. Mulvihill

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Boyd Mulvihill's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Michael Boyd Mulvihill's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

SUNAMERICA SECURITIES, INC.

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CHRISTOPHER WEIL & COMPANY, INC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

FREEMAN FINANCIAL SERVICES CORPORATION

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/19/1998

Series 63

Date: 7/20/1998

Series 52TO

Date: 9/25/2025

SIE

Date: 10/1/2018

Series 7

Date: 7/21/1984

Series 6

Date: 1/4/1984

Series 53

Date: 9/10/2003

Series 24

Date: 8/4/1997

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

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