Michael A. Pelts

HARWOOD INVESTMENT GROUP LLC

MEMPHIS, TN 38112

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CRD#: 1280943

Professional summary

Michael Alan Pelts is a registered financial advisor currently at HARWOOD INVESTMENT GROUP LLC located in Memphis, Tennessee.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Michael has worked at 3 firms and has passed the Series 63, Series 7 and Series 52 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.

MICHAEL PELTS IS A PARTNER IN IPS GROUP, WHICH IS ENGAGED IN THE PROVISION OF PORTFOLIO PERFORMANCE REPORTING AND EVALUATION SERVICES. MICHAEL PELTS IS ALSO A PARTNER IN LUBIN PROPERTY MANAGEMENT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Alan Pelts'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

June 9, 2004 - Present

HARWOOD INVESTMENT GROUP LLC

Office #1: 2593 Broad Avenue, Memphis, TN 38112

RIA

CRD#: 126391

MEMPHIS, TN

Past

June 25, 1986 - November 7, 1990

MORGAN STANLEY DW INC.

CRD#: 7556

Past

August 21, 1984 - December 24, 1985

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

CRD#: 6950

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

Tennessee
(6/9/2004)

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Exams

State Security Law Exam

Series 63

Date: 7/26/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/21/1986

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 8/20/1984

Municipal Securities Representative Examination

Current Firm

HARWOOD INVESTMENT GROUP LLC

CRD#: 126391 / SEC#:

Tennessee

Registered Investment Advisory firm - (5/5/2003 Approved)

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Contact information

Main Address

2593 Broad Avenue, Memphis, TN 38112

Mailing Address

P. O. Box 17845, Memphis, TN 38187

Phone number

(901) 685-3355

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	28
AUM (Assets Under Management)	$ 15,570,642

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 A. Pelts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Alan Pelts's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARWOOD INVESTMENT GROUP LLC

MORGAN STANLEY DW INC.

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/26/1984

Series 7

Date: 6/21/1986

Series 52

Date: 8/20/1984

Current Firm

HARWOOD INVESTMENT GROUP LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HARWOOD INVESTMENT GROUP LLC

TRUST BUT VERIFY

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