Michael K. Self
CETERA INVESTMENT ADVISERS LLC
SCOTTSDALE, AZ 85253
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CRD#: 2246403
Professional summary
Michael Kenneth Self, CFP®, who also goes by Michael K Self, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Scottsdale, Arizona and CETERA ADVISORS LLC located in Scottsdale, Arizona.
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 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael K Self
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) FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FIXED INSURANCE, START DATE 12/2020, INSURANCE AGENT, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, SELLS LIFE, ANNUITIES AND LONG-TERM CARE; (2) WILDE WEALTH MANAGEMENT GROUP, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 12/2020, FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, 32.5 DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; (3) SELF WEALTH MANAGEMENT, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 12/2020, OWNER, APX NUMBER OF HOURS PER WEEK: 40, 32.5 DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES (4) NAME OF OTHER BUSINESS: CLIENT TRUST ; INVESTMENT RELATED: NO ; ADDRESS: 7025 N. SCOTTSDALE RD SCOTTSDALE, AZ 85253 ; NATURE OF BUSINESS: TRUST ; START DATE: 02/2021 POSITION/TITLE/RELATIONSHIP: TRUSTEE ; APX NUMBER OF HOURS PER WEEK: 1-2/ MONTH ; APX NUMBER OF HOURS DURING TRADING HOURS: 1-2/ MONTH ; BRIEF DESCRIPTION OF DUTIES: PAY FINAL BILLS, DISPOSE OF ASSETS, DISBURSE FUNDS, SIGN FINAL IRS DOCUMENTS ; 5. NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL ADDRESS NATURE OF BUSINESS: POWER OF ATTORNEY, START DATE: 12/2021, POSITION/TITLE/RELATIONSHIP: POA, APX NUMBER OF HOURS PER WEEK: 5, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: MPOA AND DPOA FOR LONG TIME FAMILY FRIEND;
CRS (Client Relationship Summary) - RIA
Click below to view Michael Kenneth Self'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®
CFP®
Start date: 2004
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 7025 N Scottsdale Rd Ste 115 And 110, Scottsdale, AZ 85253RIA
CRD#: 105644
SCOTTSDALE, AZ
Current
December 9, 2020 - Present
CETERA ADVISORS LLC
Office #1: 7025 N Scottsdale Rd Ste 115 & 110, Scottsdale, AZ 85253BD
CRD#: 10299
Scottsdale, AZ
Past
December 9, 2020 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
January 24, 2005 - January 5, 2021
FFEC WEALTH PARTNERS LLC
RIA
CRD#: 16507
SCOTTSDALE, AZ
Past
January 21, 2005 - January 4, 2021
FFEC WEALTH PARTNERS LLC
BD
CRD#: 16507
SCOTTSDALE, AZ
Past
January 14, 1999 - January 27, 2005
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
July 13, 1992 - December 21, 1998
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.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
Arizona(12/16/2020)
IAR
Arizona(3/21/2024)
RR
California(12/10/2020)
RR
Colorado(1/13/2021)
RR
Connecticut(12/17/2020)
RR
Delaware(12/18/2020)
RR
District of Columbia(12/21/2020)
RR
Florida(12/10/2020)
RR
Georgia(12/18/2020)
RR
Hawaii(12/17/2020)
RR
Idaho(12/19/2023)
RR
Illinois(12/17/2020)
RR
Indiana(1/5/2021)
RR
Iowa(12/17/2020)
RR
Kansas(12/11/2020)
RR
Maine(1/27/2021)
RR
Maryland(12/10/2020)
RR
Massachusetts(1/8/2021)
RR
Michigan(1/5/2021)
RR
Minnesota(1/6/2021)
RR
Missouri(1/19/2021)
RR
Montana(12/10/2020)
RR
Nebraska(12/22/2020)
RR
Nevada(1/4/2021)
RR
New Hampshire(12/18/2020)
RR
New Jersey(12/22/2020)
RR
New Mexico(12/18/2020)
RR
New York(12/19/2020)
RR
North Carolina(1/4/2021)
RR
Ohio(1/5/2021)
RR
Oregon(12/16/2020)
RR
Pennsylvania(12/10/2020)
RR
Rhode Island(12/10/2020)
RR
Tennessee(3/18/2025)
RR
Texas(12/14/2020)
IAR
Texas(3/21/2024)
RR
Utah(12/9/2020)
RR
Virginia(1/12/2021)
RR
Washington(1/5/2021)
RR
Wisconsin(1/11/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
