Michael G. Mccool

JONES KERTZ & ASSOCIATES

Blaine, MN 55434

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CRD#: 2316059

Professional summary

Michael Gregory Mccool, who also goes by Michael Mccool, Mike Mccool, is a registered financial advisor currently at JONES KERTZ & ASSOCIATES, INC. located in Blaine, Minnesota.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Michael has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Mccool | Mike Mccool

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.

Board of Directors for the HighGrove Condominium Association - Secretary. Non investment related, 1 hour/month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Gregory Mccool'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

April 21, 2021 - Present

JONES KERTZ & ASSOCIATES, INC.

Office #1: 9298 Central Ave Ne Suite 210, Blaine, MN 55434

RIA

CRD#: 104976

Blaine, MN

Past

August 2, 2016 - February 3, 2021

CAPITAL MANAGEMENT ASSOCIATES INC

RIA

CRD#: 105010

Minneapolis, MN

Past

August 1, 2016 - February 3, 2021

CAPITAL MANAGEMENT SECURITIES, INC.

CRD#: 10579

Minneapolis, MN

Past

December 9, 2013 - July 29, 2016

VSR FINANCIAL SERVICES, INC.

RIA

CRD#: 14503

MINNEAPOLIS, MN

Past

January 2, 2009 - July 29, 2016

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

MINNEAPOLIS, MN

Past

January 24, 2008 - October 7, 2008

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

BLAINE, MN

Past

November 30, 2006 - February 5, 2008

IFMG SECURITIES, INC.

CRD#: 14416

MINNEAPOLIS, MN

Past

January 19, 2005 - December 31, 2006

TCF INVESTMENTS, INC.

CRD#: 34954

BLAINE, MN

Past

October 23, 2001 - May 26, 2004

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

December 7, 1998 - May 9, 2001

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

March 2, 1993 - October 21, 1998

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

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".

JONES KERTZ & ASSOCIATES, INC.

CRD#: 104976 / SEC#: 801-112613

RIA

Registered Investment Advisory firm - (3/19/2018 Approved)

California

Registered Investment Advisory firm - (4/22/2018 Terminated)

Minnesota

Registered Investment Advisory firm - (3/26/2018 Terminated)

Oregon

Registered Investment Advisory firm - (4/5/2018 Terminated)

Texas

Registered Investment Advisory firm - (3/23/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(5/13/2024)

IAR

Minnesota
(4/21/2021)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/7/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/1/1993

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: 2/25/1993

General Securities Representative Examination

Current Firm

JONES KERTZ & ASSOCIATES, INC.

CRD#: 104976 / SEC#: 801-112613

RIA

Registered Investment Advisory firm - (3/19/2018 Approved)

California

Registered Investment Advisory firm - (4/22/2018 Terminated)

Minnesota

Registered Investment Advisory firm - (3/26/2018 Terminated)

Oregon

Registered Investment Advisory firm - (4/5/2018 Terminated)

Texas

Registered Investment Advisory firm - (3/23/2018 Terminated)

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Contact information

Main Address

9298 Central Ave Ne Suite 210, Blaine, MN 55434

Mailing Address

Phone number

(612) 341-2218

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JONES KERTZ & ASSOCIATES, INC. (2/19/2025)

Regulatory assets under management

Total Number of Accounts	47
AUM (Assets Under Management)	$ 206,174,804

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 G. Mccool

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Gregory Mccool's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL MANAGEMENT ASSOCIATES INC

CAPITAL MANAGEMENT SECURITIES, INC.

VSR FINANCIAL SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

IFMG SECURITIES, INC.

TCF INVESTMENTS, INC.

EDWARD JONES

VOYA FINANCIAL ADVISORS, INC.

CETERA INVESTMENT SERVICES LLC

Primary Firm SEC Registration

JONES KERTZ & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/7/1999

Series 63

Date: 4/1/1993

SIE

Date: 10/1/2018

Series 7

Date: 2/25/1993

Current Firm

JONES KERTZ & ASSOCIATES, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JONES KERTZ & ASSOCIATES, INC.

TRUST BUT VERIFY

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