Michael S. Wilson

Some features on this profile are disabled

CRD#: 1464275

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michael Steven Wilson, who also goes by Mike Wilson, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mike Wilson

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 9, 2016 - March 31, 2021

WEALTHSPIRE RETIREMENT ADVISORY

RIA

CRD#: 121254

Plymouth, MN

Past

October 15, 2010 - December 12, 2022

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Plymouth, MN

Past

January 1, 2004 - October 18, 2010

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

PLYMOUTH, MN

Past

June 17, 2002 - January 1, 2004

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

July 15, 1999 - June 14, 2002

EAGLE ONE INVESTMENTS, LLC

CRD#: 45254

WASHINGTON, IA

Past

October 17, 1990 - July 19, 1999

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

February 19, 1986 - October 10, 1990

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254 / SEC#: 801-66107

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 2/17/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/15/1986

General Securities Representative Examination

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254 / SEC#: 801-66107

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 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

120 Vantis Suite 400, Aliso Viejo, CA 92656

Mailing Address

Phone number

(949) 460-9898

Established

Firm type

Fiscal year end

# of Employees

240

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NFP RETIREMENT (11/20/2025)

Regulatory assets under management

Total Number of Accounts	9,394
AUM (Assets Under Management)	$ 118,031,461,765

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael S. Wilson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

LOCUST STREET SECURITIES, INC.

EAGLE ONE INVESTMENTS, LLC

LOCUST STREET SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

WEALTHSPIRE RETIREMENT ADVISORY

State Registrations and Notice Filings

Exams

Series 63

Date: 2/17/1986

SIE

Date: 10/1/2018

Series 7

Date: 2/15/1986

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHSPIRE RETIREMENT ADVISORY

TRUST BUT VERIFY

Similar Advisors