Michael C. Hearn

GENESEE CAPITAL ADVISORS

Auburn, NY 13021

Some features on this profile are disabled

CRD#: 2131707

Professional summary

Michael Christopher Hearn is a registered financial advisor currently at GENESEE CAPITAL ADVISORS, LLC located in Auburn, New York.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Michael has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31, Series 7, Series 10 and Series 9 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) Skaneateles Lake Association. Non-Investment Related. 96 E. Genesee St, Skaneateles, NY 13152. Environment Non-Profit, advisory board member. Start 5/2021. 1hr/mo, not during trading hours. Serve on advisory board. 2) Insurance. Not Investment Related. 46 South Street Auburn NY 13021. Insurance Agent. Start 6/2013. 1 hour per month during trading. Sale of insurance and Fixed annuities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Christopher Hearn'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®

None

Experience

Current

December 2, 2020 - Present

GENESEE CAPITAL ADVISORS, LLC

Office #1: 46 South Street, Auburn, NY 13021

RIA

CRD#: 167353

Auburn, NY

Past

June 27, 2013 - October 3, 2024

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Auburn, NY

Past

June 1, 2009 - June 7, 2013

MORGAN STANLEY

CRD#: 149777

SKANEATELES, NY

Past

May 13, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SKANEATELES, NY

Past

July 30, 1994 - May 17, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SYRACUSE, NY

Past

March 5, 1992 - May 17, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

GENESEE CAPITAL ADVISORS, LLC

COPPER JOHN CAPITAL ADVISORS LLC | GENESEE CAPITAL ADVISORS, LLC

CRD#: 167353 / SEC#: 801-77930

RIA

Registered Investment Advisory firm - (4/16/2013 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.

Highlighted states indicate IAR registrations

IAR

New York
(6/6/2021)

IAR

Texas
(12/2/2020)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/15/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/5/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 11/15/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/3/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 4/27/2011

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/28/2011

General Securities Sales Supervisor - Options Module Examination

Current Firm

GENESEE CAPITAL ADVISORS, LLC

COPPER JOHN CAPITAL ADVISORS LLC | GENESEE CAPITAL ADVISORS, LLC

CRD#: 167353 / SEC#: 801-77930

RIA

Registered Investment Advisory firm - (4/16/2013 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

46 South Street, Auburn, NY 13021

Mailing Address

Phone number

(315) 554-3020

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GENESEE CAPITAL ADVISORS, LLC DISCLOSURE BROCHURE, BROCHURE SUPPLEMENT AND PRIVACY POLICY (2/11/2025)

Regulatory assets under management

Total Number of Accounts	1,605
AUM (Assets Under Management)	$ 375,236,504

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

Similar Advisors

Benjamin Stroh

PFS INVESTMENTS INC.

IAR

Skaneateles, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael C. Hearn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Christopher Hearn's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

GENESEE CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/15/1994

Series 63

Date: 3/5/1992

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 11/15/2002

Series 7

Date: 3/3/1992

Series 10

Date: 4/27/2011

Series 9

Date: 1/28/2011

Current Firm

GENESEE CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GENESEE CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

Contact information

Similar Advisors