Michael Ross

FINANCIAL CONNECTION,

Boca Raton, FL 33433

Some features on this profile are disabled

CRD#: 1392796

Professional summary

Michael Ross, CFP® is a registered financial advisor currently at FINANCIAL CONNECTION, INC located in Boca Raton, Florida.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Michael has worked at 11 firms and has passed the Series 63, Series 7 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.

BROKER CONNECTION INC 1111 Route 110, Farmingdale, NY 11735 PRESIDENT 01/1997-PRESENT BROKERAGE INSURANCE GENERAL AGENCY NON INVESTMENT RELATED FINANCIAL CONNCETION INC PRESIDENT 10/1988 - PRESENT REGISTERED INVESTMENT ADVISOR / EMP BENEFITS CONSULTANT, FINANCIAL PLANNING BUSINESS ARE RUN CONCURRENTLY 200+ HOURS PER MONTH. OPEN DURING HOURS MARKET OPEN.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Ross'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®

CFP^®

Certified Financial Planner

Start date: 1996

Experience

Current

September 29, 2014 - Present

FINANCIAL CONNECTION, INC

Office #1: 7000 W Palmetto Park Rd Suite 210, Boca Raton, FL 33433

RIA

CRD#: 120191

Boca Raton, FL

Past

July 15, 2005 - December 31, 2008

RESOURCE HORIZONS GROUP LLC

CRD#: 104368

PLAINVIEW, NY

Past

January 1, 2004 - April 26, 2005

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SCHAUMBURG, IL

Past

January 7, 2001 - January 1, 2004

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

June 2, 1997 - December 31, 1998

SIGNAL SECURITIES, INC.

CRD#: 15916

FORT WORTH, TX

Past

April 22, 1996 - June 4, 1997

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

November 28, 1989 - April 22, 1996

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

November 19, 1989 - December 15, 1989

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

February 3, 1989 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

July 21, 1986 - February 10, 1989

BROADPOINT DESCAP

CRD#: 14997

Past

August 20, 1985 - July 23, 1986

MONY SECURITIES CORPORATION

CRD#: 4386

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

Florida
(9/29/2014)

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

Series 63

Date: 9/6/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/17/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/13/1995

General Securities Principal Examination

Current Firm

FINANCIAL CONNECTION, INC

CRD#: 120191 / SEC#:

Florida

Registered Investment Advisory firm - (9/29/2014 Approved)

New York

Registered Investment Advisory firm - (12/31/2022 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).

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

7000 W Palmetto Park Rd Suite 210, Boca Raton, FL 33433

Mailing Address

Po Box 272828, Boca Raton, FL 33427

Phone number

(561) 372-6000

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	5
AUM (Assets Under Management)	$ 103,188

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.

Similar Advisors

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Charles Fischer

RAYMOND JAMES & ASSOCIATES, INC.

IAR

Boca Raton, FL

John Fricker

EQUITABLE ADVISORS, LLC

IAR

Ft. Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael Ross

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

RESOURCE HORIZONS GROUP LLC

CETERA FINANCIAL SPECIALISTS LLC

CAPITAL BROKERAGE CORPORATION

SIGNAL SECURITIES, INC.

SII INVESTMENTS, INC.

CADARET, GRANT & CO., INC.

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

BROADPOINT DESCAP

MONY SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 9/6/1985

Series 7

Date: 8/17/1985

Series 24

Date: 3/13/1995

Current Firm

FINANCIAL CONNECTION, INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FINANCIAL CONNECTION, INC

TRUST BUT VERIFY

Similar Advisors