Michael J. Ling

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CRD#: 2528970

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michael James Ling, CFP® was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1994. Michael had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

What are your service offerings?

Retirement Planning

Comprehensive Financial Planni...

Investment Planning

Estate Planning

Insurance Planning

Do you have an area of expertise or specialization?

College/Education Planning

Corporate Executives

Investment Advice with Ongoing...

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®

CFP^®

Certified Financial Planner

Start date: 2005

Experience

Past

November 25, 1996 - December 24, 2024

BERKELEY, INC

RIA

CRD#: 117667

BOISE, ID

Past

January 8, 1996 - November 27, 1996

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

October 21, 1994 - January 27, 1997

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

October 21, 1994 - January 27, 1997

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".

BERKELEY, INC

CRD#: 117667 / SEC#: 801-62959

RIA

Registered Investment Advisory firm - (3/30/2004 Approved)

Idaho

Registered Investment Advisory firm - (3/30/2004 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

IAR

Series 65

Date: 9/17/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/13/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/6/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/21/1996

General Securities Principal Examination

Current Firm

BERKELEY, INC

CRD#: 117667 / SEC#: 801-62959

RIA

Registered Investment Advisory firm - (3/30/2004 Approved)

Idaho

Registered Investment Advisory firm - (3/30/2004 Terminated)

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Contact information

Main Address

3778 Plantation River Drive Suite 102, Boise, ID 83703

Mailing Address

Phone number

(208) 853-6980

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BERKELEY, INC FORM ADV PART 2A (3/10/2025)

Regulatory assets under management

Total Number of Accounts	761
AUM (Assets Under Management)	$ 595,858,211

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Michael J. Ling

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

IFG NETWORK SECURITIES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

BERKELEY, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/17/1996

Series 63

Date: 9/13/1994

Series 7

Date: 9/6/1994

Series 24

Date: 3/21/1996

Current Firm

BERKELEY, INC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BERKELEY, INC

TRUST BUT VERIFY

Contact information

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