MK
Michael L. Krumholz
PERIGON WEALTH MANAGEMENT
READING, PA 19607
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CRD#: 1977128
MK
Professional summary
Michael Lee Krumholz, who also goes by Mike Krumholz, is a registered financial advisor currently at PERIGON WEALTH MANAGEMENT, LLC located in Reading, Pennsylvania and FORTUNE FINANCIAL SERVICES, INC. located in Reading, Pennsylvania.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Michael has worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Krumholz
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] MR. KRUMHOLZ IS REGISTERED WITH PERIGON WEALTH MANAGEMENT, LLC ("PERIGON") AND FORTUNE FINANCIAL SERVICES, INC. ("FORTUNE FINANCIAL SERVICES"). MR. KRUMHOLZ HAS SERVED AS AN INVESTMENT ADVISOR REPRESENTATIVE ("IAR") OF PERIGON SINCE 02/2024 AND AS A REGISTERED REPRESENTATIVE WITH FORTUNE FINANCIAL SINCE 12/2019; INVESTMENT-RELATED; BUSINESS IS CONDUCTED FROM 2433 MORGANTOWN ROAD, SUITE 103, READING, PA 19607. MR. KRUMHOLZ SPENDS 90% OF HIS TIME ON INVESTMENT ADVISORY ACTIVITIES AND THE BALANCE AS A REGISTERED REPRESENTATIVE. [2] CFG INSURANCE; NOT INVESTMENT RELATED; AT REPORTED BUSINESS LOCATION; INSURANCE SALES; AGENT; 10/1987; TWO (2) HOURS PER MONTH DURING SECURITIES TRADING HOURS; DUTIES INCLUDE SELLING INSURANCE PRODUCTS. [3] POA FOR ARLENE KRUMHOLZ; NOT-INVESTMENT RELATED; DURABLE POWER OF ATTORNEY FOR MEDICAL AND FINANCIAL AFFAIRS; START 03/2017; TEN HOURS PER MONTH; NOT DURING SECURITIES TRADING HOURS [4] CFG HORIZONS, LLC; NOT-INVESTMENT RELATED; READING, PA; BUSINESS ENTITY CREATED FOR TAX/INVESTMENT PURPOSED FOR REVENUE DERIVED FROM FORTUNE FINANCIAL SERVICES; OWNER; [5] PURE HEALTH TONICS DBA EVN; NOT-INVESTMENT RELATED; READING, PA, BUSINESS IS INCORPORATED IN DELAWARE AND LOCATED IN NEW YORK; RETAIL HEALTH PRODUCTS FIRM; ASSOCIATE; 01/2019; FOUR (4) HOURS PER MONTH, NOT DURING SECURITIES TRADING HOURS; DUTIES INCLUDE CONSULTING.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Lee Krumholz'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
February 5, 2024 - Present
PERIGON WEALTH MANAGEMENT, LLC
Office #1: 2433 Morgantown Road Suite 103, Reading, PA 19607RIA
CRD#: 131037
READING, PA
Current
December 4, 2019 - Present
FORTUNE FINANCIAL SERVICES, INC.
Office #1: 2433 Morgantown Road Suite 103, Reading, PA 19607BD
CRD#: 42150
Reading, PA
Past
December 10, 2019 - June 17, 2024
PRUDEO PARTNERS, LLC
RIA
CRD#: 113961
READING, PA
Past
March 29, 2017 - November 27, 2019
INDEPENDENT ADVISOR ALLIANCE, LLC
RIA
CRD#: 168267
Reading, PA
Past
March 29, 2017 - December 9, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
READING, PA
Past
February 26, 2007 - April 24, 2017
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
READING, PA
Past
February 26, 2007 - April 24, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
READING, PA
Past
July 19, 2002 - March 27, 2007
ASSET & FINANCIAL PLANNING, LTD
RIA
CRD#: 110709
READING, PA
Past
February 29, 2000 - March 27, 2007
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
READING, PA
Past
June 6, 1994 - March 6, 2000
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
December 10, 1991 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
October 16, 1989 - December 6, 1991
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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".
PW
PERIGON WEALTH MANAGEMENT, LLC
ANTHEM ADVISORS | WEALTH ADVISORS | STAKEHOLDERS CAPITAL | PRUDEO PARTNERS | PM WEALTH MANAGEMENT | PERIGON WEALTH MANAGEMENT, LLC | COLLABORATION CAPITAL | COGNIZANT WEALTH ADVISORS | BURLESON & COMPANY | BLUE WATER CAPITAL MANAGEMENT | ANTHEM WEALTH PARTNERS
CRD#: 131037 / SEC#: 801-62988
RIA
Registered Investment Advisory firm - (4/7/2004 Approved)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
California(12/4/2019)
RR
Connecticut(12/4/2019)
RR
Florida(12/4/2019)
RR
Maryland(12/4/2019)
RR
Massachusetts(1/6/2022)
RR
North Carolina(12/4/2019)
RR
Oregon(12/4/2019)
RR
Pennsylvania(12/4/2019)
IAR
Pennsylvania(2/5/2024)
RR
South Carolina(12/4/2019)
RR
Tennessee(12/4/2019)
RR
Texas(12/4/2019)
IAR
Texas(2/5/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PW
PERIGON WEALTH MANAGEMENT, LLC
ANTHEM ADVISORS | WEALTH ADVISORS | STAKEHOLDERS CAPITAL | PRUDEO PARTNERS | PM WEALTH MANAGEMENT | PERIGON WEALTH MANAGEMENT, LLC | COLLABORATION CAPITAL | COGNIZANT WEALTH ADVISORS | BURLESON & COMPANY | BLUE WATER CAPITAL MANAGEMENT | ANTHEM WEALTH PARTNERS
CRD#: 131037 / SEC#: 801-62988
RIA
Registered Investment Advisory firm - (4/7/2004 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
201 Mission Street Suite 1825, San Francisco, CA 94105
Mailing Address
Phone number
(877) 977-2555
Established
Firm type
Fiscal year end
# of Employees
141
SEC notice filing (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 15,456 |
| AUM (Assets Under Management) | $ 8,714,418,958 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2024 | ||
| 10/24/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
PERIGON WEALTH MANAGEMENT, LLC
CRD#: 131037Reading, PA 19607TRUST BUT VERIFY
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