Michael S. Gorichanaz

CETERA INVESTMENT ADVISERS LLC

RACINE, WI 53402

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CRD#: 2154828

Professional summary

Michael Stephen Gorichanaz, who also goes by Mike Gorichanaz, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Racine, Wisconsin and CETERA WEALTH SERVICES, LLC located in Corpus Christi, Texas.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Michael has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Gorichanaz

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.

2) BEACON BENEFITS GROUP INC. DBA MGA WEALTH MANAGEMENT; POSITION: Officer NATURE: This is the DBA for my financial planning firm. all business with be submitted through Avantax INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/27/1997; ADDRESS: 5402 Douglas Avenue, Racine WI 53402, Meeting with Clients Developing Financial Planning Needs Providing Investment and Insurance Solutions Monitoring and Reviewing investments Developing Clients Risk Objectives Administration of Business operations for Beacon Benefits Group

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Stephen Gorichanaz'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

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 5402 Douglas Ave, Racine, WI 53402Office #2: 5402 Douglas Avenue, Racine, WI 53402Office #3: 400 So Padre Island Dr Suite 203, Corpus Christi, TX 78405

RIA

CRD#: 105644

RACINE, WI

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 10308 Leopard Street, Corpus Christi, TX 78410Office #2: 5402 Douglas Avenue, Racine, WI 53402

CRD#: 13572

Corpus Christi, TX

Past

September 16, 2022 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

RACINE, WI

Past

September 16, 2022 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

RACINE, WI

Past

July 31, 2009 - September 20, 2022

HARBOUR INVESTMENTS, INC.

RIA

CRD#: 19258

RACINE, WI

Past

July 31, 2009 - September 20, 2022

HARBOUR INVESTMENTS, INC.

CRD#: 19258

RACINE, WI

Past

June 23, 2003 - July 31, 2009

WATERSTONE FINANCIAL GROUP, INC.

RIA

CRD#: 10078

RACINE, WI

Past

September 10, 2002 - July 31, 2009

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

RACINE, WI

Past

July 13, 1995 - September 12, 2002

FFP ADVISORY SERVICES INC

RIA

CRD#: 110778

BROOKFIELD, WI

Past

September 6, 1994 - September 12, 2002

FFP SECURITIES, INC.

CRD#: 16337

CHESTERFIELD, MO

Past

May 11, 1993 - September 2, 1994

CABRERA CAPITAL MARKETS, LLC

CRD#: 10081

CHICAGO, IL

Past

September 4, 1991 - May 19, 1993

LISS FINANCIAL SERVICES

CRD#: 21950

MILWAUKEE, WI

Past

July 18, 1991 - September 21, 1991

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

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

Alabama
(9/5/2025)

Arizona
(9/5/2025)

Delaware
(9/5/2025)

Florida
(9/5/2025)

Illinois
(9/5/2025)

Iowa
(9/5/2025)

Michigan
(9/18/2025)

Minnesota
(9/5/2025)

Nevada
(9/5/2025)

South Carolina
(9/5/2025)

Tennessee
(9/18/2025)

Texas
(9/5/2025)

IAR

Texas
(9/5/2025)

Utah
(9/5/2025)

Washington
(9/5/2025)

Wisconsin
(9/5/2025)

IAR

Wisconsin
(9/5/2025)

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 66

Date: 12/22/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/5/1991

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: 12/4/1991

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/5/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/16/1999

General Securities Principal Examination

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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Advisor Monitoring

Firm Stability Insights

Michael S. Gorichanaz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Stephen Gorichanaz's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

HARBOUR INVESTMENTS, INC.

HARBOUR INVESTMENTS, INC.

WATERSTONE FINANCIAL GROUP, INC.

WATERSTONE FINANCIAL GROUP, INC.

FFP ADVISORY SERVICES INC

FFP SECURITIES, INC.

CABRERA CAPITAL MARKETS, LLC

LISS FINANCIAL SERVICES

SECURITIES AMERICA, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/22/2011

Series 63

Date: 7/5/1991

SIE

Date: 10/1/2018

Series 7

Date: 12/4/1991

Series 6

Date: 7/5/1991

Series 24

Date: 2/16/1999

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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