MW
Michael L. Whitaker
NFSG
THE VILLAGES, FL 32162
Some features on this profile are disabled
CRD#: 1739854
MW
Professional summary
Michael Leonard Whitaker, who also goes by Mike Leonard Whitaker, is a registered financial advisor currently at NFSG CORPORATION located in The Villages, Florida and NEWBRIDGE SECURITIES CORPORATION located in The Villages, Florida.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Michael has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Leonard Whitaker
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.
1)MICHAEL L WHITAKER & ASSOC., LLC, (DBA): YES, IT IS INVESTMENT RELATED; THE VILLAGES, FL; INSURANCE, FINANCIAL SERVICES, FINANCIAL PLANNING AND INVESTMENT PRODUCTS; OWNER AND CHARTERED FINANCIAL CONSULTANT; 160 HOURS PER MONTH DEVOTED; STARTED MAY 2009; HOUR OF OPERATION ARE 8:30 AM TO 5:00 PM; SALES, RECRUITING AND MANAGING THE OFFICE. 2) HIGH STANDARD, LLC: 1/2015- OCALA, FL, OWNER, BUY/SELL HORSES, TRAIN/SHOW THEM. NOT INVESTMENT RELATED, CORPORATION, TIME SPENT ON THIS DURING REGULAR BUSINESS HOURS IS 0%. 3) HIGH STANDARDS 2, LLC; NOT INVESTMENT RELATED, OCALA, FL 34478; STARTED 02/15/2023 ONGOING - OWNER - HORSE BUSINESS AND WILL HOLD THE HORSES THAT I OWN (BUY/SELL); NOT INVOLVED IN DAY-TO-DAY OPERATIONS, GENERALLY DO THIS BUSINESS ON THE WEEKEND, 50% OWNER WITH WIFE SHANNON. 4) RENTAL PROPERTY: RESIDENTIAL HOME IN NORTH CAROLINA WILL BE HELD OUT AS RENTAL PROPERTY, HOMEOWNER/2017. NOT INVESTMENT RELATED, TIME SPENT ON THIS DURINNG REGULAR BUSINESS HOURS IS 5%
CRS (Client Relationship Summary) - RIA
Click below to view Michael Leonard Whitaker'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®
NoneExperience
Current
March 16, 2010 - Present
NFSG CORPORATION
Office #1: 3251 Wedgewood Lane, The Villages, FL 32162RIA
CRD#: 130814
THE VILLAGES, FL
Current
December 1, 2009 - Present
NEWBRIDGE SECURITIES CORPORATION
Office #1: 3251 Wedgewood Lane, The Villages, FL 32162BD
CRD#: 104065
THE VILLAGES, FL
Past
October 31, 2007 - December 10, 2009
MM ASCEND LIFE INVESTOR SERVICES, LLC
BD
CRD#: 36451
THE VILLAGES, FL
Past
August 25, 2006 - November 6, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
OCALA, FL
Past
May 7, 2004 - January 26, 2005
AFS BROKERAGE, INC.
BD
CRD#: 25924
AUSTIN, TX
Past
February 12, 2003 - September 15, 2003
AFS BROKERAGE, INC.
BD
CRD#: 25924
AUSTIN, TX
Past
October 12, 1987 - January 3, 1989
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
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".
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)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.RR
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
RR
Alabama(6/24/2016)
RR
Arizona(8/9/2017)
RR
California(10/5/2012)
RR
Colorado(4/1/2020)
RR
Connecticut(7/24/2017)
RR
Delaware(12/7/2018)
RR
Florida(12/1/2009)
IAR
Florida(3/16/2010)
RR
Georgia(7/21/2015)
RR
Idaho(6/21/2021)
RR
Illinois(5/23/2013)
RR
Indiana(1/6/2015)
RR
Maryland(9/16/2020)
RR
Massachusetts(9/1/2015)
RR
Michigan(3/7/2013)
RR
Minnesota(9/14/2015)
RR
Mississippi(10/7/2022)
RR
Missouri(5/28/2020)
RR
Nevada(9/4/2018)
RR
New Hampshire(6/1/2017)
RR
New Jersey(5/17/2010)
RR
New York(1/5/2010)
RR
North Carolina(3/7/2019)
RR
Ohio(1/6/2015)
RR
Oregon(6/9/2023)
RR
Pennsylvania(1/4/2011)
RR
South Carolina(9/12/2014)
RR
Tennessee(6/1/2022)
RR
Texas(12/23/2013)
IAR
Texas(1/4/2019)
RR
Vermont(9/28/2021)
RR
Virgin Islands(3/31/2015)
RR
Virginia(5/3/2013)
RR
Washington(3/9/2018)
RR
West Virginia(8/7/2017)
RR
Wisconsin(1/9/2012)
RR
Wyoming(3/19/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1200 North Federal Highway Suite 400, Boca Raton, FL 33432
Mailing Address
Phone number
(954) 334-3450
Established
Firm type
Fiscal year end
# of Employees
89
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
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.
