Michael J. Ellison

RETIREMENT PLANNING SOLUTIONS

Louisville, KY 40220

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CRD#: 2167438

Professional summary

Michael Jerome Ellison, who also goes by Mike Ellison, is a registered financial advisor currently at RETIREMENT PLANNING SOLUTIONS, LLC located in Louisville, Kentucky and SILVER OAK SECURITIES, INCORPORATED located in Louisville, Kentucky.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Michael has worked at 17 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Ellison

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.) MJE Enterprises LLC; Non-Investment Related; 7401 Diehl Ct Louisville, KY 40220; LLC; Owner; Start Date: 11/6/2016; 8 hours devoted monthly; 8 hours devoted monthly during trading hours ; Owner, Real Estate Agent, Broker, and Developer. (2.) RPS Risk Management, LLC; Investment-Related; 3432 Stony Spring Circle, Louisville, KY 40220; LLC; President; Start Date: 6/5/2023; 1 hour devoted monthly; 1 hour devoted monthly during trading hours; Commission Compensation, Overseeing Insurance sales and service. (3.) MJE Enterprise, LLC; Non-Investment Related; 7401 Diehl Ct Louisville, KY 40220; LLC; President; Real Estate Holding Company; Start Date: 2/28/2013; 1 hour devoted monthly; 0 hours devoted during trading hours; No Compensation, MJE owns the office building. (4.) Silver Oak Securities, Inc.; Investment-Related; 403 North Pkwy. #200, Jackson, TN 38305; Broker-Dealer; Investment Adviser Representative; Start Date: 03/2020' 160 hours devoted monthly; 160 hours devoted monthly during trading hours; Commission-based products. (5.) MJELLISON Company Inc,Is Not Investment Related,"3432 Stony Spring Circle, , Louisville, KY, 40220, United States",Equipment Lease,President,8/1/2025,1 hours per month,0 hours per month during trading hours,No Compensation Compensation,Equipment Leasing

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Jerome Ellison'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

March 1, 2021 - Present

RETIREMENT PLANNING SOLUTIONS, LLC

Office #1: 3432 Stony Spring Circle, Louisville, KY 40220

RIA

CRD#: 311575

Louisville, KY

Current

March 2, 2020 - Present

SILVER OAK SECURITIES, INCORPORATED

Office #1: 3432 Stony Spring Circle, Louisville, KY 40220

RIA

CRD#: 46947

Louisville, KY

Past

March 3, 2020 - April 29, 2021

MAGNATE ADVISORY SERVICES, LLC

RIA

CRD#: 283056

Louisville, KY

Past

June 21, 2012 - March 3, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

LOUISVILLE, KY

Past

March 2, 2011 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

LOUISVILLE, KY

Past

March 2, 2011 - March 3, 2020

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

LOUISVILLE, KY

Past

July 25, 2008 - March 4, 2011

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

LOUISVILLE, KY

Past

September 4, 2003 - March 4, 2011

FSC SECURITIES CORPORATION

CRD#: 7461

LOUISVILLE, KY

Past

October 31, 2001 - September 23, 2003

INVESTACORP, INC.

CRD#: 7684

MIAMI, FL

Past

June 29, 2000 - October 30, 2001

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

November 10, 1999 - July 14, 2000

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

June 18, 1998 - November 15, 1999

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

February 28, 1996 - July 7, 1998

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

May 22, 1995 - October 25, 1996

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

August 19, 1994 - April 4, 1995

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

July 9, 1993 - September 3, 1994

ONEAMERICA SECURITIES, INC.

CRD#: 4173

INDIANAPOLIS, IN

Past

July 9, 1993 - September 3, 1994

AMERICAN UNITED LIFE INSURANCE COMPANY

CRD#: 1075

INDIANAPOLIS, IN

Past

August 17, 1992 - November 5, 1992

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

August 17, 1992 - November 5, 1992

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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".

RETIREMENT PLANNING SOLUTIONS, LLC

CLOVER WEALTH PARTNERS | RPS ADVISORY SOLUTIONS, LLC | RETIREMENT PLANNING SOLUTIONS, LLC

CRD#: 311575 / SEC#: 801-119926

RIA

Registered Investment Advisory firm - (12/4/2020 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

Florida
(3/2/2020)

Indiana
(3/2/2020)

Kentucky
(3/2/2020)

IAR

Kentucky
(3/1/2021)

Ohio
(3/2/2020)

Tennessee
(5/25/2021)

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: 7/24/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/26/1992

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 7

Date: 3/25/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/14/1992

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

RETIREMENT PLANNING SOLUTIONS, LLC

CLOVER WEALTH PARTNERS | RPS ADVISORY SOLUTIONS, LLC | RETIREMENT PLANNING SOLUTIONS, LLC

CRD#: 311575 / SEC#: 801-119926

RIA

Registered Investment Advisory firm - (12/4/2020 Approved)

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Contact information

Main Address

3432 Stony Spring Circle, Louisville, KY 40220

Mailing Address

Phone number

(502) 499-5668

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RETIREMENT PLANNING SOLUTIONS, LLC ADV PART 2A (6/4/2025)

RETIREMENT PLANNING SOLUTIONS, LLC ADV PART 2A, APPENDIX 1 - WRAP FEE PROGRAM (3/28/2025)

Regulatory assets under management

Total Number of Accounts	2,366
AUM (Assets Under Management)	$ 376,782,414

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

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Advisor Monitoring

Firm Stability Insights

Michael J. Ellison

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Jerome Ellison's CRS (Customer Relationship Summary).

Certified licenses

Experience

SILVER OAK SECURITIES, INCORPORATED

MAGNATE ADVISORY SERVICES, LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

INVESTACORP, INC.

SECURITIES AMERICA, INC.

VERAVEST INVESTMENTS, INC.

OSAIC FS, INC.

WMA SECURITIES, INC.

VOYA FINANCIAL ADVISORS, INC.

1717 CAPITAL MANAGEMENT COMPANY

ONEAMERICA SECURITIES, INC.

AMERICAN UNITED LIFE INSURANCE COMPANY

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

RETIREMENT PLANNING SOLUTIONS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/24/2008

Series 63

Date: 8/26/1992

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/25/2009

Series 6

Date: 8/14/1992

FINRA

Current Firm

RETIREMENT PLANNING SOLUTIONS, LLC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RETIREMENT PLANNING SOLUTIONS, LLC

TRUST BUT VERIFY

Contact information

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