Michael K. De Luz

WILLIAMS & NOVAK WEALTH MANAGEMENT

Huntington Beach, CA

Some features on this profile are disabled

CRD#: 2526894

Professional summary

Michael K De Luz, who also goes by Michael Kirk De Luz, is a registered financial advisor currently at WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC located in Huntington Beach, California and INTEGRITY BROKERAGE, LLC located in Seattle, Washington.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 31 firms and has passed the Series 66, Series 63, Series 6TO, Series 99TO, SIE, Series 7, Series 28, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Kirk De Luz

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. Williams & Novak Wealth Management LLC, DBA Strategic Wealth and Taxes; Investment related, 2625 Townsgate Rd., Suite 330, Westlake Village, CA 91361; Investment Advisor and Chief Compliance Officer 08/08/2023. 2. Strategic Wealth and Taxes a DBA of RMD Consulting LLC; 5000 Birch Street, Ste 3000, Newport Beach, CA 92660; Taxes, Bookkeeping and Tax Advisory; Non-Investment Related; Managing Member 2/8/2019; 5 hours per month during trading hours. 3. RMD Consulting LLC; 16458 Bolsa Chica Street, #414, Huntington Beach, CA 92649; Compliance Consultant to Registered Investment Advisory or Broker-Dealer firms; Non-Investment Related; Managing Member 2/8/2019; 5 hours per month during trading hours. 4. Integrity Brokerage, 309 Hilliard Ave., Monterey Park, CA 91754 - Non-Investment Related - FINOP. Less than 5 hours per month 5. Insurance Agent - Non-Investment related; Nature of business: Insurance sales. Position/Title: Insurance Agent. Start date: 2006. Number of hours devoted during securities trading hours: Sale of Life, Fixed & Immediate Annuities, Long Term Care & Health insurance policies. Less than 5 hours a month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael K De Luz'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

August 8, 2023 - Present

WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC

RIA

CRD#: 324173

Huntington Beach, CA

Current

September 1, 2021 - Present

INTEGRITY BROKERAGE, LLC

Office #1: 720 Seneca St Ste 107, Seattle, WA 98101

CRD#: 117589

Seattle, WA

Current

October 29, 2025 - Present

VISTIA CAPITAL, LLC

Office #1: 202 6th Street, Suite 303, Castle Rock, CO 80104

CRD#: 311342

Castle Rock, CO

Past

August 2, 2022 - February 7, 2023

LYNDHURST SECURITIES INC.

CRD#: 315582

WOODLAND HILLS, CA

Past

December 12, 2021 - February 15, 2025

HB SECURITIES, LLC

CRD#: 140356

Newport Beach, CA

Past

October 14, 2021 - December 9, 2021

FORTA FINANCIAL GROUP, INC.

CRD#: 28784

AUSTIN, TX

Past

April 23, 2020 - August 15, 2022

KOVACK ADVISORS, INC.

RIA

CRD#: 140808

Newport Beach, CA

Past

April 23, 2020 - August 15, 2022

KOVACK SECURITIES INC.

CRD#: 44848

Newport Beach, CA

Past

May 16, 2018 - September 11, 2023

LAZARI CAPITAL MANAGEMENT, INC.

RIA

CRD#: 172932

WOODLAND HILLS, CA

Past

March 7, 2018 - July 26, 2019

KOVACK SECURITIES INC.

CRD#: 44848

Glendale, CA

Past

January 18, 2018 - January 19, 2018

KINGSWOOD CAPITAL PARTNERS, LLC

CRD#: 288898

SAN DIEGO, CA

Past

November 2, 2017 - January 19, 2018

KINGSWOOD WEALTH ADVISORS, LLC

RIA

CRD#: 288792

SAN DIEGO, CA

Past

May 15, 2017 - January 19, 2018

SGMA CAPITAL MARKETS LIMITED

CRD#: 135327

San Diego, CA

Past

February 2, 2017 - May 4, 2017

FINANCIAL WEST GROUP

RIA

CRD#: 16668

WESTLAKE VILLAGE, CA

Past

February 2, 2017 - May 4, 2017

FINANCIAL WEST GROUP

CRD#: 16668

WESTLAKE VILLAGE, CA

Past

January 26, 2016 - October 31, 2016

CL WEALTH MANAGEMENT LLC

RIA

CRD#: 134922

Huntington Beach, CA

Past

January 26, 2016 - October 31, 2016

CABOT LODGE SECURITIES LLC

CRD#: 159712

SCHAUMBURG, IL

Past

May 27, 2014 - December 16, 2015

FINANCIAL WEST GROUP

RIA

CRD#: 16668

WESTLAKE VILLAGE, CA

Past

August 23, 2013 - December 16, 2015

FINANCIAL WEST GROUP

CRD#: 16668

WESTLAKE VILLAGE, CA

Past

November 27, 2012 - August 28, 2013

HENNION & WALSH, INC.

CRD#: 25766

PARSIPPANY, NJ

Past

December 9, 2011 - August 21, 2012

INDEPENDENCE REALTY SECURITIES, LLC.

CRD#: 150161

MINNEAPOLIS, MN

Past

June 2, 2010 - October 7, 2011

KBR CAPITAL MARKETS, LLC

CRD#: 128800

LOS ANGELES, CA

Past

March 15, 2010 - June 1, 2010

CABIN SECURITIES, INC.

CRD#: 137608

OVERLAND PARK, KS

Past

January 18, 2008 - July 31, 2009

INLAND SECURITIES CORPORATION

CRD#: 15807

OAK BROOK, IL

Past

November 20, 2006 - January 7, 2008

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727

MONUMENT, CO

Past

December 8, 2004 - November 10, 2006

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

Past

October 17, 2003 - December 16, 2004

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

Past

June 25, 2003 - October 1, 2003

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

January 3, 2003 - January 14, 2003

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

ORANGE, CA

Past

November 6, 2002 - January 14, 2003

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

February 19, 2002 - October 8, 2002

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

July 5, 2001 - November 30, 2001

DIRECTED SERVICES LLC

CRD#: 21675

WEST CHESTER, PA

Past

May 9, 2001 - July 10, 2001

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

November 2, 2000 - March 20, 2001

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NASHVILLE, TN

Past

September 15, 1998 - December 31, 2000

NATIONWIDE SECURITIES, LLC

CRD#: 11173

COLUMBUS, OH

Past

October 10, 1994 - September 3, 1998

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

NEWPORT BEACH, CA

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".

WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC

GLEN OAKS FINANCIAL | WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC | WILLIAMS & NOVACK WEALTH MANAGEMENT, LLC | STRATEGIC WEALTH AND TAXES

CRD#: 324173 / SEC#: 801-128269

RIA

Registered Investment Advisory firm - (7/6/2023 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.

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

California
(9/1/2021)

IAR

California
(8/8/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/13/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/18/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/5/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 28

Date: 1/2/2023

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 27

Date: 10/1/2013

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/3/1995

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC

GLEN OAKS FINANCIAL | WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC | WILLIAMS & NOVACK WEALTH MANAGEMENT, LLC | STRATEGIC WEALTH AND TAXES

CRD#: 324173 / SEC#: 801-128269

RIA

Registered Investment Advisory firm - (7/6/2023 Approved)

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Contact information

Main Address

2625 Townsgate Road Suite 330, Westlake Village, CA 91361

Mailing Address

Phone number

(626) 689-7181

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A WNWM (9/22/2025)

Regulatory assets under management

Total Number of Accounts	831
AUM (Assets Under Management)	$ 263,947,400

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 K. De Luz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael K De Luz's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTEGRITY BROKERAGE, LLC

VISTIA CAPITAL, LLC

LYNDHURST SECURITIES INC.

HB SECURITIES, LLC

FORTA FINANCIAL GROUP, INC.

KOVACK ADVISORS, INC.

KOVACK SECURITIES INC.

LAZARI CAPITAL MANAGEMENT, INC.

KOVACK SECURITIES INC.

KINGSWOOD CAPITAL PARTNERS, LLC

KINGSWOOD WEALTH ADVISORS, LLC

SGMA CAPITAL MARKETS LIMITED

FINANCIAL WEST GROUP

FINANCIAL WEST GROUP

CL WEALTH MANAGEMENT LLC

CABOT LODGE SECURITIES LLC

FINANCIAL WEST GROUP

FINANCIAL WEST GROUP

HENNION & WALSH, INC.

INDEPENDENCE REALTY SECURITIES, LLC.

KBR CAPITAL MARKETS, LLC

CABIN SECURITIES, INC.

INLAND SECURITIES CORPORATION

ADVISORS ASSET MANAGEMENT, INC.

COREBRIDGE CAPITAL SERVICES, INC.

AMERITAS INVESTMENT COMPANY, LLC

MML INVESTORS SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

WS GRIFFITH SECURITIES, INC.

DIRECTED SERVICES LLC

VOYA FINANCIAL PARTNERS, LLC

ALLIANCEBERNSTEIN INVESTMENTS, INC.

NATIONWIDE SECURITIES, LLC

PACIFIC SELECT DISTRIBUTORS, LLC

Primary Firm SEC Registration

WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/13/2002

Series 63

Date: 10/18/1994

Series 6TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/5/1994

Series 28

Date: 1/2/2023

Series 27

Date: 10/1/2013

Series 24

Date: 7/3/1995

FINRA

Current Firm

WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information