Michael Lally

LALLY WEALTH MANAGEMENT

North Kingstown, RI 02852

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CRD#: 2459422

Professional summary

Michael Lally, who also goes by Michael John Lally, is a registered financial advisor currently at LALLY WEALTH MANAGEMENT, LLC located in North Kingstown, Rhode Island.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Michael has worked at 13 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 6 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael John Lally

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) LIFE INSURANCE AGENT; INVESTMENT RELATED; NORTH KINGSTOWN, RI; START; 2011 - 15 HOURS MONTH DURING TRADING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Lally'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®

None

Experience

Current

June 11, 2012 - Present

LALLY WEALTH MANAGEMENT, LLC

Office #1: 70 Romano Vineyard Way Suite 152, North Kingstown, RI 02852

RIA

CRD#: 164259

North Kingstown, RI

Past

September 14, 2009 - November 10, 2010

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA

CRD#: 106494

NEW YORK, NY

Past

September 9, 2009 - November 10, 2010

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

HARTFORD, CT

Past

August 27, 2008 - September 24, 2009

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

August 31, 2006 - June 17, 2008

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

NEWPORT BEACH, CA

Past

April 12, 2005 - June 7, 2006

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

SMITHFIELD, RI

Past

April 12, 2005 - June 7, 2006

CITIZENS SECURITIES, INC.

CRD#: 39550

SMITHFIELD, RI

Past

October 20, 2004 - January 3, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

LINCOLN, RI

Past

October 20, 2004 - January 3, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

August 22, 2003 - October 20, 2004

QUICK & REILLY, INC.

RIA

CRD#: 11217

LINCOLN, RI

Past

August 22, 2003 - October 20, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

January 14, 2003 - April 8, 2003

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

CINCINNATI, OH

Past

October 7, 2002 - December 20, 2002

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

January 11, 2001 - September 9, 2002

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

July 10, 1996 - July 13, 1999

AMERITRADE NORTHWEST, INC.

CRD#: 10215

PORTLAND, OR

Past

May 17, 1995 - February 9, 1996

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

May 19, 1994 - September 16, 1994

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

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

Massachusetts
(5/24/2022)

IAR

Rhode Island
(6/11/2012)

IAR

South Carolina
(9/22/2023)

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: 11/26/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/3/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 9/16/2014

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/16/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/4/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 30

Date: 9/29/2014

NFA Branch Manager Examination

Current Firm

LALLY WEALTH MANAGEMENT, LLC

LALLY WEALTH MANAGEMENT, LLC | LALLY WEALTHFUL ADVISING SERVICES, LLC | LALLY WEALTHFUL ADVISING SERVICES

CRD#: 164259 / SEC#:

Massachusetts

Registered Investment Advisory firm - (5/24/2022 Approved)

Rhode Island

Registered Investment Advisory firm - (6/11/2012 Approved)

South Carolina

Registered Investment Advisory firm - (9/22/2023 Approved)

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Contact information

Main Address

70 Romano Vineyard Way Suite 152, North Kingstown, RI 02852

Mailing Address

Phone number

(401) 398-7171

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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 Lally

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

VOYA INVESTMENT MANAGEMENT CO. LLC

VOYA INVESTMENTS DISTRIBUTOR, LLC

MML INVESTORS SERVICES, LLC

PACIFIC SELECT DISTRIBUTORS, LLC

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

QUICK & REILLY, INC.

THE O.N. EQUITY SALES COMPANY

EQUITABLE ADVISORS, LLC

WS GRIFFITH SECURITIES, INC.

AMERITRADE NORTHWEST, INC.

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY DISTRIBUTORS COMPANY LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/26/2002

Series 63

Date: 6/3/1994

Series 3

Date: 9/16/2014

Series 7

Date: 1/16/2002

Series 6

Date: 5/4/1994

Series 30

Date: 9/29/2014

Current Firm

LALLY WEALTH MANAGEMENT, LLC

Contact information

Documents

Red Flags

Company Information

LALLY WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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