Ross J. Mcvey

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CRD#: 2336041

Professional summary

Ross James Mcvey JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Ross is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, Ross had worked at 4 firms, which includes ENDOWMENT WEALTH MANAGEMENT INC., MORGAN STANLEY DW INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 2, 2003 - November 10, 2003

ENDOWMENT WEALTH MANAGEMENT, INC.

RIA

CRD#: 108652

GREEN BAY, WI

Past

June 11, 2002 - November 1, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

May 7, 1993 - June 7, 2002

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

May 7, 1993 - June 7, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, 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".

ENDOWMENT WEALTH MANAGEMENT, INC.

CAPITAL NORTH LTD | ENDOWMENT WEALTH MANAGEMENT, INC.

CRD#: 108652 / SEC#: 801-112413

RIA

Registered Investment Advisory firm - (2/8/2018 Approved)

Illinois

Registered Investment Advisory firm - (2/23/2018 Terminated)

Minnesota

Registered Investment Advisory firm - (12/16/2015 Terminated)

Texas

Registered Investment Advisory firm - (2/26/2018 Terminated)

Wisconsin

Registered Investment Advisory firm - (2/27/2018 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.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 4/29/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/6/1993

General Securities Representative Examination

Current Firm

ENDOWMENT WEALTH MANAGEMENT, INC.

CAPITAL NORTH LTD | ENDOWMENT WEALTH MANAGEMENT, INC.

CRD#: 108652 / SEC#: 801-112413

RIA

Registered Investment Advisory firm - (2/8/2018 Approved)

Illinois

Registered Investment Advisory firm - (2/23/2018 Terminated)

Minnesota

Registered Investment Advisory firm - (12/16/2015 Terminated)

Texas

Registered Investment Advisory firm - (2/26/2018 Terminated)

Wisconsin

Registered Investment Advisory firm - (2/27/2018 Terminated)

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Contact information

Main Address

W6272 Communication Court, Appleton, WI 54914-8531

Mailing Address

Phone number

(920) 785-6010

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ENDOWMENT WEALTH MANAGEMENT, INC. ADV BROCHURE (9/24/2025)

Regulatory assets under management

Total Number of Accounts	2,403
AUM (Assets Under Management)	$ 427,600,085

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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Ross J. Mcvey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ENDOWMENT WEALTH MANAGEMENT, INC.

MORGAN STANLEY DW INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

ENDOWMENT WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/29/1993

Series 7

Date: 5/6/1993

Current Firm

ENDOWMENT WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ENDOWMENT WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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