Michael E. Leach

ADVANCED ADVISOR GROUP

Waite Park, MN 56387

Some features on this profile are disabled

CRD#: 1291327

Professional summary

Michael Eugene Leach, who also goes by Mike Leach, is a registered financial advisor currently at ADVANCED ADVISOR GROUP, LLC located in Waite Park, Minnesota and EFS ADVISORS located in Waite Park, Minnesota.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Michael has worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Leach

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.

Leach Financial Services LLC, INV, Clearwater, MN, 55320, Tax Purposes and Pass-Through Entity, Owner, 12/21/2012, Minimal, approximately 1 inv hrs/mo for administrative tasks, 1 trading hr, Leach Financial Services LLC is established for tax purposes to facilitate compensation for 1099 employee services. It functions as a pass-through entity for business-related activities associated with EFS Advisors. The LLC does not engage in any separate or additional business activities beyond this function. There is no direct compensation.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Eugene Leach'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

January 15, 2014 - Present

ADVANCED ADVISOR GROUP, LLC

Office #1: 110 2nd St. S #308, Waite Park, MN 56387

RIA

CRD#: 140393

Waite Park, MN

Current

January 15, 2014 - Present

EFS ADVISORS

Office #1: 110 2nd St. S. #308, Waite Park, MN 56387

RIA

CRD#: 115211

Waite Park, MN

Current

October 5, 2006 - Present

ADVANCED ADVISOR GROUP, LLC

Office #1: 110 2nd St. S #308, Waite Park, MN 56387

RIA

CRD#: 140393

Waite Park, MN

Past

February 15, 2005 - October 9, 2006

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451

CINCINNATI, OH

Past

August 1, 2000 - February 15, 2005

PMG SECURITIES CORPORATION

CRD#: 27107

ELGIN, IL

Past

July 1, 1996 - September 29, 1999

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

July 8, 1993 - July 1, 1996

NATIONWIDE SECURITIES, LLC

CRD#: 11173

COLUMBUS, OH

Past

February 20, 1991 - August 1, 2000

INVESTORS BROKERAGE SERVICES, INC.

CRD#: 4257

ELGIN, IL

Past

November 6, 1989 - December 19, 1990

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

August 1, 1985 - September 12, 1989

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

EFS ADVISORS

EDUCATOR'S FINANCIAL SERVICES, INC. | EFS ADVISORS LLC | EFS ADVISORS

CRD#: 115211 / SEC#: 801-62857

RIA

Registered Investment Advisory firm - (3/11/2004 Approved)

Iowa

Registered Investment Advisory firm - (6/29/2004 Terminated)

North Dakota

Registered Investment Advisory firm - (7/26/2004 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.

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

California
(1/30/2025)

Florida
(1/30/2025)

Minnesota
(10/9/2006)

IAR

Minnesota
(1/15/2014)

Wisconsin
(1/30/2025)

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

Series 63

Date: 8/26/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/31/1985

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

EFS ADVISORS

EDUCATOR'S FINANCIAL SERVICES, INC. | EFS ADVISORS LLC | EFS ADVISORS

CRD#: 115211 / SEC#: 801-62857

RIA

Registered Investment Advisory firm - (3/11/2004 Approved)

Iowa

Registered Investment Advisory firm - (6/29/2004 Terminated)

North Dakota

Registered Investment Advisory firm - (7/26/2004 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1995 East Rum River Drive S, Cambridge, MN 55008

Mailing Address

Phone number

(763) 689-9023

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

EFS ADV PART 2 BROCHURE (3/11/2025)

Regulatory assets under management

Total Number of Accounts	29,714
AUM (Assets Under Management)	$ 2,271,853,092

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

Similar Advisors

Nathan Bosek

FARTHER

IAR

Sartell, MN

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael E. Leach

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Eugene Leach's CRS (Customer Relationship Summary).

Certified licenses

Experience

EFS ADVISORS

ADVANCED ADVISOR GROUP, LLC

MM ASCEND LIFE INVESTOR SERVICES, LLC

PMG SECURITIES CORPORATION

NATIONWIDE INVESTMENT SERVICES CORPORATION

NATIONWIDE SECURITIES, LLC

INVESTORS BROKERAGE SERVICES, INC.

SECURITIES AMERICA, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

EFS ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 8/26/1985

SIE

Date: 10/1/2018

Series 6

Date: 7/31/1985

FINRA

Current Firm

EFS ADVISORS

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EFS ADVISORS

TRUST BUT VERIFY

Contact information

Similar Advisors