Michael L. Mainland

MAINLAND FINANCIAL

SARASOTA, FL 34240

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CRD#: 2607917

Professional summary

Michael Lee Mainland, CFP®, who also goes by Mike Lee Mainland, is a registered financial advisor currently at MAINLAND FINANCIAL located in Sarasota, Florida.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Michael has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Lee Mainland

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) - RIA

Click below to view Michael Lee Mainland'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®

CFP^®

Certified Financial Planner

Experience

Current

May 2, 2001 - Present

MAINLAND FINANCIAL

Office #1: 6151 Lake Osprey Dr Third Floor, Sarasota, FL 34240

RIA

CRD#: 119667

SARASOTA, FL

Past

August 19, 1999 - April 2, 2001

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

October 6, 1998 - July 29, 1999

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

October 6, 1998 - July 29, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

July 6, 1995 - October 20, 1998

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

LOS ANGELES, CA

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
(5/2/2001)

IAR

Florida
(7/5/2007)

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: 10/19/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/6/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/5/1995

General Securities Representative Examination

Current Firm

MAINLAND FINANCIAL

MAINLAND FINANCIAL | MAINLAND FINANCIAL SERVICES LLC

CRD#: 119667 / SEC#:

California

Registered Investment Advisory firm - (5/2/2001 Approved)

Florida

Registered Investment Advisory firm - (7/5/2007 Approved)

Pennsylvania

Registered Investment Advisory firm - (11/14/2006 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).

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Contact information

Main Address

6151 Lake Osprey Dr Suite 300, Sarasota, FL 34240-8419

Mailing Address

Phone number

(941) 306-3020

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	41
AUM (Assets Under Management)	$ 42,511,044

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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Michael L. Mainland

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

MAINLAND FINANCIAL

CETERA WEALTH SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

INTERFIRST CAPITAL CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 10/19/1998

Series 63

Date: 7/6/1995

Series 7

Date: 7/5/1995

Current Firm

MAINLAND FINANCIAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MAINLAND FINANCIAL

TRUST BUT VERIFY

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