MP
Michael J. Planning
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CRD#: 1866729
MP
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 John Planning, who also goes by Michael John Planning, Mike Planning, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1988. Michael had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michael John Planning | Mike Planning
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.
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®
NoneExperience
Past
August 12, 2019 - March 31, 2020
CAPTRUST
RIA
CRD#: 175112
Greensboro, NC
Past
August 12, 2019 - March 31, 2020
CAPFINANCIAL SECURITIES, LLC.
BD
CRD#: 126291
RALEIGH, NC
Past
May 8, 2014 - May 3, 2019
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
Greensboro, NC
Past
May 8, 2014 - May 3, 2019
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
Greensboro, NC
Past
May 4, 2007 - May 9, 2014
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
GREENSBORO, NC
Past
May 4, 2007 - May 9, 2014
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
GREENSBORO, NC
Past
July 19, 2002 - April 17, 2007
FIRST CITIZENS INVESTOR SERVICES, INC.
RIA
CRD#: 44430
RALEIGH, NC
Past
July 19, 2002 - April 17, 2007
FIRST CITIZENS INVESTOR SERVICES, INC.
BD
CRD#: 44430
RALEIGH, NC
Past
December 31, 2001 - August 1, 2002
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
RALEIGH, NC
Past
March 20, 2001 - August 1, 2002
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
June 15, 2000 - March 14, 2001
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
COLUMBUS, OH
Past
May 8, 1999 - May 31, 2000
FULCRUM FINANCIAL ADVISORS, INC.
BD
CRD#: 44972
BOSTON, MA
Past
September 11, 1998 - March 8, 1999
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
January 30, 1995 - September 4, 1998
WACHOVIA BROKERAGE SERVICE
BD
CRD#: 17503
WINSTON SALEM, NC
Past
July 14, 1993 - February 6, 1995
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
Past
August 29, 1989 - June 28, 1993
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
February 1, 1989 - August 15, 1989
CAPITOL SECURITIES MANAGEMENT, INC.
BD
CRD#: 14169
GLEN ALLEN, VA
Past
August 22, 1988 - December 31, 1988
FIRST CHESAPEAKE SECURITIES CORPORATION
BD
CRD#: 10517
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".
CA
CAPTRUST
1776 ADVISOR GROUP | WINDSOR FINANCIAL GROUP | WELCH HORNSBY, INC. | WEALTH COVENANT GROUP LLC | WATERMARK ASSET MANAGEMENT, INC. | TRUTINA FINANCIAL | TRUSTCORE FINANCIAL SERVICES, LLC | TRUNORTH WEALTH PARTNERS, LLC | THE JOHNSTON GROUP | STRATEGIC ADVISOR GROUP | STEWARDSHIP FINANCIAL ADVISORS, LLC | SOUTHERN WEALTH MANAGEMENT LLP | SOUTH TEXAS MONEY MANAGEMENT, LTD. | SHINE WEALTH PARTNERS | RINET COMPANY, LLC | REYNOLDS INVESTMENT MANAGEMENT INC | QUANTITATIVE ADVANTAGE, LLC | PWA WEALTH MANAGEMENT | PORTFOLIO EVALUATIONS, INC. | PARKER, CARLON & JOHNSON, INC. | OMEGA WEALTH PARTNERS, INC. | NEW MARKET WEALTH MANAGEMENT, LLC | NACHMAN NORWOOD & PARROTT, INC. | MRA ASSOCIATES | MORTON WEALTH MANAGEMENT LLC | MONROE VOS CONSULTING, INC. | MCQUEEN BALL & ASSOCIATES LLC | LAKESIDE WEALTH MANAGEMENT GROUP, LLC. | KNOX CAPITAL ADVISORS LLC | KAIROS PRIVATE WEALTH, INC | J.H. ELLWOOD & ASSOCIATES, INC. (ELLWOOD) | INTRUST FIDUCIARY GROUP | GENOVESE BURFORD & BROTHERS WEALTH AND RETIREMENT PLAN MGMT, LLC | FRONTIER WEALTH MANAGEMENT, LLC | FREEDOM 401K | FOUNTAIN FINANCIAL ASSOCIATES, INC. | FCE GROUP | FAMILY OFFICE RISK ADVISORS | ENGRAVE WEALTH PARTNERS LLC | DEFINED CONTRIBUTION ADVISORS INC OR DCADVISORS | DAVIDSON & GARRARD INC | DANDA TROUVE INVESTMENT MANAGEMENT, INC. | CRESCENT CAPITAL CONSULTING, LLC | COVENANT MULTI-FAMILY OFFICES, LLC (COVENANT) | CORNERSTONE CAPITAL ADVISORS | COLUMN CAPITAL ADVISORS, LLC | COBBLESTONE CAPITAL ADVISORS, LLC. | CATAWBA CAPITAL MANAGEMENT INC | CAROLINAS WEALTH CONSULTING LLC | CAPTRUST FINANCIAL ADVISORS | CAPTRUST ADVISORS LLC | CAPTRUST | CAPFINANCIAL PARTNERS, LLC | CAMPBELL WEALTH MANAGEMENT, INC. | CAMMACK RETIREMENT ADVISORS, LLC | BOSTON FINANCIAL MANAGEMENT LLC | AEVITAS WEALTH MANAGEMENT, INC.
CRD#: 175112 / SEC#: 801-62193
RIA
Registered Investment Advisory firm - (7/11/2003 Approved)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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
CA
CAPTRUST
1776 ADVISOR GROUP | WINDSOR FINANCIAL GROUP | WELCH HORNSBY, INC. | WEALTH COVENANT GROUP LLC | WATERMARK ASSET MANAGEMENT, INC. | TRUTINA FINANCIAL | TRUSTCORE FINANCIAL SERVICES, LLC | TRUNORTH WEALTH PARTNERS, LLC | THE JOHNSTON GROUP | STRATEGIC ADVISOR GROUP | STEWARDSHIP FINANCIAL ADVISORS, LLC | SOUTHERN WEALTH MANAGEMENT LLP | SOUTH TEXAS MONEY MANAGEMENT, LTD. | SHINE WEALTH PARTNERS | RINET COMPANY, LLC | REYNOLDS INVESTMENT MANAGEMENT INC | QUANTITATIVE ADVANTAGE, LLC | PWA WEALTH MANAGEMENT | PORTFOLIO EVALUATIONS, INC. | PARKER, CARLON & JOHNSON, INC. | OMEGA WEALTH PARTNERS, INC. | NEW MARKET WEALTH MANAGEMENT, LLC | NACHMAN NORWOOD & PARROTT, INC. | MRA ASSOCIATES | MORTON WEALTH MANAGEMENT LLC | MONROE VOS CONSULTING, INC. | MCQUEEN BALL & ASSOCIATES LLC | LAKESIDE WEALTH MANAGEMENT GROUP, LLC. | KNOX CAPITAL ADVISORS LLC | KAIROS PRIVATE WEALTH, INC | J.H. ELLWOOD & ASSOCIATES, INC. (ELLWOOD) | INTRUST FIDUCIARY GROUP | GENOVESE BURFORD & BROTHERS WEALTH AND RETIREMENT PLAN MGMT, LLC | FRONTIER WEALTH MANAGEMENT, LLC | FREEDOM 401K | FOUNTAIN FINANCIAL ASSOCIATES, INC. | FCE GROUP | FAMILY OFFICE RISK ADVISORS | ENGRAVE WEALTH PARTNERS LLC | DEFINED CONTRIBUTION ADVISORS INC OR DCADVISORS | DAVIDSON & GARRARD INC | DANDA TROUVE INVESTMENT MANAGEMENT, INC. | CRESCENT CAPITAL CONSULTING, LLC | COVENANT MULTI-FAMILY OFFICES, LLC (COVENANT) | CORNERSTONE CAPITAL ADVISORS | COLUMN CAPITAL ADVISORS, LLC | COBBLESTONE CAPITAL ADVISORS, LLC. | CATAWBA CAPITAL MANAGEMENT INC | CAROLINAS WEALTH CONSULTING LLC | CAPTRUST FINANCIAL ADVISORS | CAPTRUST ADVISORS LLC | CAPTRUST | CAPFINANCIAL PARTNERS, LLC | CAMPBELL WEALTH MANAGEMENT, INC. | CAMMACK RETIREMENT ADVISORS, LLC | BOSTON FINANCIAL MANAGEMENT LLC | AEVITAS WEALTH MANAGEMENT, INC.
CRD#: 175112 / SEC#: 801-62193
RIA
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Contact information
Main Address
4208 Six Forks Rd Suite 1700, Raleigh, NC 27609
Mailing Address
Phone number
(919) 870-6822
Established
Firm type
Fiscal year end
# of Employees
1,723
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 127,387 |
| AUM (Assets Under Management) | $ 1,083,051,008,644 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/17/2025 | ||
| 10/25/2024 | ||
| 01/24/2024 | ||
| 01/03/2023 |
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.
