Michael J. Stone

CETERA INVESTMENT ADVISERS LLC

FORT MYERS, FL 33901

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CRD#: 1985705

Professional summary

Michael John Stone, AIF®, who also goes by Mike J Stone, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Fort Myers, Florida and CETERA ADVISORS LLC located in Fort Myers, Florida.

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 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike J Stone

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.) FREEDOM TAX AND FINANCIAL; PARTNER; NON-CPA ACCOUNTING/TAX PREP; START DATE 12/3/2014; 4 HOURS PER MONTH. 2.) IRON MIKES HIGH PERFORMANCE; COACH; CONSULTING; START DATE 06/23/2015; 20 HOURS PER MONTH. 3.) Freedom Tax and Financial; Partner; DBA; Start date 12/3/2014; 40 hours per month. 4.) FREEDOM TAX AND FINANCIAL, LLC; DBA; FIXED LIFE AND HEALTH INSURANCE; START DATE: 02/14/2018; 4 HOURS A MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Stone's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

September 25, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 2069 First Street, Suite 204, Fort Myers, FL 33901

RIA

CRD#: 105644

FORT MYERS, FL

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

Office #1: 10471 Six Mile Cypress Parkway Suite 400-3, Fort Myers, FL 33966

CRD#: 10299

Fort Myers, FL

Past

January 2, 2015 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

FT. MYERS, FL

Past

December 22, 2014 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

Fort Myers, FL

Past

January 2, 2007 - December 14, 2010

FREEDOM ADVISORS TAX AND FINANCIAL PLANNING

RIA

CRD#: 141774

FT. MYERS, FL

Past

August 22, 2006 - December 23, 2014

OSAIC WEALTH, INC.

RIA

CRD#: 23131

FORT MEYERS, FL

Past

August 18, 2006 - December 23, 2014

OSAIC WEALTH, INC.

CRD#: 23131

FORT MEYERS, FL

Past

March 23, 2001 - September 5, 2006

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

FORT MYERS, FL

Past

March 23, 2001 - September 5, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

FORT MYERS, FL

Past

June 30, 1993 - March 27, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 19, 1989 - July 23, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 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.

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

IAR

Florida
(9/25/2020)

Florida
(9/8/2022)

Indiana
(9/8/2022)

Michigan
(9/8/2022)

Nebraska
(1/11/2023)

New Jersey
(9/8/2022)

New York
(9/8/2022)

North Carolina
(10/24/2024)

Texas
(9/8/2022)

IAR

Texas
(11/1/2022)

Wisconsin
(9/8/2022)

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

IAR

Series 65

Date: 12/30/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/25/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/23/1989

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/16/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 12/16/2006

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 2/18/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

Michael J. Stone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Stone's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FREEDOM ADVISORS TAX AND FINANCIAL PLANNING

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/30/1999

Series 63

Date: 9/25/1989

SIE

Date: 10/1/2018

Series 3

Date: 10/23/1989

Series 7

Date: 9/16/1989

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 24

Date: 12/16/2006

Series 8

Date: 2/18/1994

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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