Michael A. Grossman

KORNITZER CAPITAL MANAGEMENT

Shawnee Mission, KS 66205-3084

Some features on this profile are disabled

CRD#: 2260971

Professional summary

Michael Alan Grossman is a registered financial advisor currently at KORNITZER CAPITAL MANAGEMENT, INC. located in Shawnee Mission, Kansas.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Michael has worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 3 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Alan Grossman'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 6, 2020 - Present

KORNITZER CAPITAL MANAGEMENT, INC.

Office #1: 5420 West 61st Place, Shawnee Mission, KS 66205-3084

RIA

CRD#: 111087

Shawnee Mission, KS

Past

September 11, 2009 - May 28, 2010

STERNECK CAPITAL MANAGEMENT LLC

RIA

CRD#: 111463

KANSAS CITY, MO

Past

December 7, 2000 - June 30, 2004

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

NASHVILLE, TN

Past

October 12, 2000 - December 7, 2000

SANFORD C. BERNSTEIN & CO., INC.

CRD#: 1232

NEW YORK, NY

Past

November 1, 1993 - October 14, 1996

CANTOR FITZGERALD SECURITIES

CRD#: 19660

NEW YORK, NY

Past

April 21, 1993 - October 14, 1996

MINT BROKERS

CRD#: 13681

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".

KORNITZER CAPITAL MANAGEMENT, INC.

KORNITZER CAPITAL MANAGEMENT INC | KORNITZER CAPITAL MANAGEMENT, INC.

CRD#: 111087 / SEC#: 801-34933

RIA

Registered Investment Advisory firm - (8/4/1989 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

Kansas
(3/6/2020)

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: 10/27/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/28/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/11/2000

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 11/6/1997

National Commodity Futures Examination

Current Firm

KORNITZER CAPITAL MANAGEMENT, INC.

KORNITZER CAPITAL MANAGEMENT INC | KORNITZER CAPITAL MANAGEMENT, INC.

CRD#: 111087 / SEC#: 801-34933

RIA

Registered Investment Advisory firm - (8/4/1989 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

5420 West 61st Place, Mission, KS 66205-3084

Mailing Address

P.o. Box 918, Shawnee Mission, KS 66201-0918

Phone number

(913) 677-7778

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (44 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROCHURE DISCLOSURE (6/26/2025)

Regulatory assets under management

Total Number of Accounts	5,127
AUM (Assets Under Management)	$ 6,752,273,410

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/20/2025	Cover Page	Report
11/19/2024	Cover Page	Report
09/25/2023	Cover Page	Report
12/21/2022	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.

Similar Advisors

Jessica Williams

VANGUARD ADVISERS, INC.

IAR

CHARLOTTE, NC

Alan Brockhaus

RITHOLTZ WEALTH MANAGEMENT

IAR

New Orleans, LA

Sarah Soria

PROSPERITY CAPITAL ADVISORS

IAR

Grass Valley, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael A. Grossman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Alan Grossman's CRS (Customer Relationship Summary).

Certified licenses

Experience

STERNECK CAPITAL MANAGEMENT LLC

SANFORD C. BERNSTEIN & CO., LLC

SANFORD C. BERNSTEIN & CO., INC.

CANTOR FITZGERALD SECURITIES

MINT BROKERS

Primary Firm SEC Registration

KORNITZER CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/27/2005

Series 63

Date: 9/28/2000

Series 7

Date: 10/11/2000

Series 3

Date: 11/6/1997

Current Firm

KORNITZER CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (44 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KORNITZER CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

Similar Advisors