Michael W. Lagos

LAGOS WEALTH ADVISORS

Diamond Bar, CA 91765

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CRD#: 1763163

Professional summary

Michael William Lagos, CFP® is a registered financial advisor currently at LAGOS WEALTH ADVISORS located in Diamond Bar, California and MADISON AVENUE SECURITIES, LLC located in Diamond Bar, California.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Michael has worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 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.

1)LAGOS FINANCIAL AND INSURANCE SERVICES, INC. DBA LAGOS WEALTH ADVISORS;INVESTMENT RELATED;1320 VALLEY VISTA DR, SUITE 202,DIAMOND BAR,CA 91765;REGISTERED INVESTMENT ADVISOR AND INSURANCE BROKERAGE;PRESIDENT;6/1/1995;400 HRS/MONTH;6.5 HRS DURING TRADING;FINANCIAL ADVISOR,INSURANCE AGENT,INVESTMENT ADVICE. PRESIDENT: HOURS: 160 HR, 6.5 DURING TRADING HOURS: DBA OF MY CORP USED FOR MARKETING PURPOSES ONLY. ALL BUSINESS GOES THROUGH CORPORATION. 2) INCENTADVISE; NOT INVESTMENT RELATED;33302 VALLE ROAD SUITE 200 SAN JUAN CAPISTRANO, CA 92675; START DATE 3/2022; 8 HOURS/MONTH DURING TRADING HOURS; DUTIES: REFERRAL RELATIONSHIP WITH CPA , LAW FIRMS AND BUSINESS CLIENTS FOR THE PURPOSE OF OBTAINING R & D AND ERC TAX CREDITS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael William Lagos'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

Experience

Current

August 6, 1996 - Present

LAGOS WEALTH ADVISORS

Office #1: 1320 Valley Vista Drive Suite 202, Diamond Bar, CA 91765

RIA

CRD#: 117551

Diamond Bar, CA

Current

April 18, 2022 - Present

MADISON AVENUE SECURITIES, LLC

Office #1: 1320 Valley Vista Dr., Suite 202, Diamond Bar, CA 91765

RIA

CRD#: 23224

Diamond Bar, CA

Past

September 17, 2013 - April 18, 2022

TRIAD ADVISORS LLC

CRD#: 25803

DIAMOND BAR, CA

Past

November 27, 2012 - December 20, 2012

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

DIAMOND BAR, CA

Past

November 20, 2012 - October 7, 2013

J.W. COLE FINANCIAL, INC.

CRD#: 124583

DIAMOND BAR, CA

Past

May 4, 2004 - November 19, 2012

CENTAURUS FINANCIAL, INC.

CRD#: 30833

DIAMOND BAR, CA

Past

May 16, 2001 - May 19, 2004

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

SCOTTSDALE, AZ

Past

August 3, 1998 - May 23, 2001

INVESTMENT ARCHITECTS, INC.

CRD#: 17774

PETALUMA, CA

Past

July 18, 1995 - July 31, 1998

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

March 16, 1995 - July 5, 1995

INVESTMENT ARCHITECTS, INC.

CRD#: 17774

PETALUMA, CA

Past

November 29, 1993 - March 6, 1995

ASSOCIATED SECURITIES CORP.

CRD#: 12969

BOSTON, MA

Past

December 19, 1989 - December 3, 1993

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

January 4, 1988 - November 6, 1989

GREEN HILL FINANCIAL SERVICE CORPORATION

CRD#: 4882

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

Arizona
(4/18/2022)

IAR

California
(8/6/1996)

California
(4/18/2022)

Colorado
(4/18/2022)

IAR

Colorado
(12/18/2023)

District of Columbia
(4/18/2022)

Florida
(4/18/2022)

Hawaii
(4/18/2022)

Idaho
(8/31/2022)

Maine
(4/18/2022)

Michigan
(4/18/2022)

Missouri
(8/31/2022)

Montana
(4/18/2022)

Nevada
(4/18/2022)

New Jersey
(4/18/2022)

New York
(4/18/2022)

Oregon
(4/18/2022)

Pennsylvania
(2/15/2024)

South Carolina
(4/18/2022)

IAR

Texas
(9/6/2019)

Texas
(4/18/2022)

Virginia
(4/18/2022)

Washington
(4/18/2022)

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: 6/1/1994

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: 9/22/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/30/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/20/1999

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 6/1/1994

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

LAGOS WEALTH ADVISORS

CRD#: 117551 / SEC#:

Arizona

Registered Investment Advisory firm - (12/31/2012 Terminated)

California

Registered Investment Advisory firm - (8/5/1996 Approved)

Colorado

Registered Investment Advisory firm - (12/18/2023 Approved)

New York

Registered Investment Advisory firm - (12/31/2012 Terminated)

Texas

Registered Investment Advisory firm - (8/23/2019 Conditional Restricted)

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).

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Contact information

Main Address

1320 Valley Vista Drive Suite 202, Diamond Bar, CA 91765

Mailing Address

Phone number

(714) 940-0888

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	135
AUM (Assets Under Management)	$ 60,630,120

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

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Advisor Monitoring

Firm Stability Insights

Michael W. Lagos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

MADISON AVENUE SECURITIES, LLC

TRIAD ADVISORS LLC

J. W. COLE ADVISORS, INC.

J.W. COLE FINANCIAL, INC.

CENTAURUS FINANCIAL, INC.

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

INVESTMENT ARCHITECTS, INC.

MUTUAL SERVICE CORPORATION

INVESTMENT ARCHITECTS, INC.

ASSOCIATED SECURITIES CORP.

GUARDIAN INVESTOR SERVICES LLC

GREEN HILL FINANCIAL SERVICE CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 6/1/1994

SIE

Date: 10/1/2018

Series 7

Date: 9/22/1994

Series 6

Date: 12/30/1987

Series 24

Date: 8/20/1999

Series 26

Date: 6/1/1994

FINRA

Current Firm

LAGOS WEALTH ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LAGOS WEALTH ADVISORS

TRUST BUT VERIFY

Contact information

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