Michael C. Weber

RESEARCH & PORTFOLIO MANAGEMENT

Crescent Springs, KY 41017-1302

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CRD#: 1255635

Professional summary

Michael Charles Weber, CFP®, who also goes by Mike Weber, is a registered financial advisor currently at RESEARCH & PORTFOLIO MANAGEMENT located in Crescent Springs, Kentucky.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Michael has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

What are your service offerings?

Tax Planning

Retirement Income Management

Investment Planning

Estate Planning

Retirement Planning

Employee and Employer Plan Ben...

Comprehensive Financial Planni...

Insurance Planning

Long-term Care

Are you a "fiduciary"?

Yes

Aliases

Mike Weber

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Charles Weber'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: 2016

Experience

Current

August 17, 2011 - Present

RESEARCH & PORTFOLIO MANAGEMENT

Office #1: 634 Buttermilk Pike, Crescent Springs, KY 41017-1302

RIA

CRD#: 157609

Crescent Springs, KY

Past

December 19, 2013 - September 4, 2019

AMERICAN EQUITY INVESTMENT CORPORATION

CRD#: 40199

NEW ALBANY, IN

Past

April 17, 2009 - November 25, 2011

CANTELLA & CO., INC.

RIA

CRD#: 13905

CRESCENT SPRINGS, KY

Past

April 17, 2009 - November 25, 2011

CANTELLA & CO., INC.

CRD#: 13905

CRESCENT SPRINGS, KY

Past

January 2, 2009 - April 22, 2009

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

SAINT PETERSBURG, FL

Past

June 10, 2002 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

CRESCENT SPRINGS, KY

Past

May 23, 1997 - April 22, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

CRESCENT SPRINGS, KY

Past

September 4, 1990 - May 27, 1997

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

May 1, 1990 - September 4, 1990

PRESCOTT, BALL & TURBEN, INC.

CRD#: 7656

Past

November 30, 1989 - May 4, 1990

ROSS, SINCLAIRE & ASSOCIATES, LLC

CRD#: 25440

CINCINNATI, OH

Past

October 13, 1988 - December 5, 1989

MERIT FINANCIAL CORPORATION

CRD#: 10265

Past

September 15, 1986 - September 4, 1990

PRESCOTT, BALL & TURBEN, INC.

CRD#: 7656

Past

April 18, 1984 - September 22, 1986

E. F. HUTTON & COMPANY INC

CRD#: 235

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".

RESEARCH & PORTFOLIO MANAGEMENT

MCW FINANCIAL, INC. | RESEARCH & PORTFOLIO MANAGEMENT

CRD#: 157609 / SEC#: 801-121337

RIA

Registered Investment Advisory firm - (5/28/2021 Approved)

California

Registered Investment Advisory firm - (3/18/2019 Terminated)

Kentucky

Registered Investment Advisory firm - (5/28/2021 Terminated)

Ohio

Registered Investment Advisory firm - (12/20/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Kentucky
(8/17/2011)

IAR

Ohio
(11/21/2011)

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: 5/25/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/18/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/21/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/14/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/20/1997

General Securities Principal Examination

Current Firm

RESEARCH & PORTFOLIO MANAGEMENT

MCW FINANCIAL, INC. | RESEARCH & PORTFOLIO MANAGEMENT

CRD#: 157609 / SEC#: 801-121337

RIA

Registered Investment Advisory firm - (5/28/2021 Approved)

California

Registered Investment Advisory firm - (3/18/2019 Terminated)

Kentucky

Registered Investment Advisory firm - (5/28/2021 Terminated)

Ohio

Registered Investment Advisory firm - (12/20/2021 Terminated)

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Contact information

Main Address

634 Buttermilk Pike, Crescent Springs, KY 41017-1302

Mailing Address

Phone number

(859) 578-2200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MCW FINANCIAL, INC. DBA RESEARCH & PORTFOLIO MANAGEMENT ADV BROCHURE AND SUPPLEMENT (3/27/2025)

Regulatory assets under management

Total Number of Accounts	263
AUM (Assets Under Management)	$ 134,654,219

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

Firm Stability Insights

Michael C. Weber

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

AMERICAN EQUITY INVESTMENT CORPORATION

CANTELLA & CO., INC.

CANTELLA & CO., INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

PRESCOTT, BALL & TURBEN, INC.

ROSS, SINCLAIRE & ASSOCIATES, LLC

MERIT FINANCIAL CORPORATION

PRESCOTT, BALL & TURBEN, INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

RESEARCH & PORTFOLIO MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 5/25/2010

Series 63

Date: 4/18/1984

SIE

Date: 10/1/2018

Series 3

Date: 8/21/1986

Series 7

Date: 4/14/1984

Series 24

Date: 12/20/1997

Current Firm

RESEARCH & PORTFOLIO MANAGEMENT

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RESEARCH & PORTFOLIO MANAGEMENT

TRUST BUT VERIFY

Contact information

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