Michael C. Kuznicki

RIDGEBACK CAPITAL MANAGEMENT

Bellaire, TX 77401

Some features on this profile are disabled

CRD#: 2620970

Professional summary

Michael Charles Kuznicki, who also goes by Mike Kuznicki, is a registered financial advisor currently at RIDGEBACK CAPITAL MANAGEMENT located in Bellaire, Texas.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Michael has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Kuznicki

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.

MANDALAY FINANCIAL LLC.DBA RIDGEBACK CAPITAL MANAGEMENT: BELLAIRE TX, RIA PRESIDENT/OWNER,EST 1999, 40 HOURS AND 40 DURING TRADING HOURS, INVESTMENT RELATED. MICHAEL C. KUZNICKI, CPA: PRINCIPAL OF CPA FIRM. AVERAGE OF 10 HRS/MONTH ALL DURING TRADING HRS. MICHAEL KUZNICKI, INSURANCE PRODUCER,NON-INVESTMENT RELATED, SELLING AND SERVICING AGENT, COMMISSION, 1996, 32 HR/MTH 8 TRADING HR/MTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Charles Kuznicki'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

February 23, 1999 - Present

RIDGEBACK CAPITAL MANAGEMENT

Office #1: 6750 West Loop South Suite 1080, Bellaire, TX 77401

RIA

CRD#: 113848

Bellaire, TX

Past

October 15, 2014 - December 31, 2014

KOVACK SECURITIES INC.

CRD#: 44848

BELLAIRE, TX

Past

October 22, 2003 - December 31, 2003

RESOURCE HORIZONS GROUP LLC

RIA

CRD#: 104368

BELLAIRE, TX

Past

May 18, 2001 - October 15, 2014

RESOURCE HORIZONS GROUP LLC

CRD#: 104368

BELLAIRE, TX

Past

January 4, 1999 - June 1, 2001

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

September 16, 1997 - December 31, 1998

SIGNAL SECURITIES, INC.

CRD#: 15916

FORT WORTH, TX

Past

December 22, 1995 - September 17, 1997

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

June 6, 1995 - January 12, 1996

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

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".

RIDGEBACK CAPITAL MANAGEMENT

MANDALAY FINANCIAL, L.L.C. | SMART GROUP HOUSTON | RIDGEBACK CAPITAL MANAGEMENT

CRD#: 113848 / SEC#: 801-79515

RIA

Registered Investment Advisory firm - (4/25/2014 Approved)

Oregon

Registered Investment Advisory firm - (11/21/2006 Terminated)

Texas

Registered Investment Advisory firm - (4/30/2014 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.

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

Texas
(2/23/1999)

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: 10/9/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/5/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/5/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/4/1998

General Securities Principal Examination

Current Firm

RIDGEBACK CAPITAL MANAGEMENT

MANDALAY FINANCIAL, L.L.C. | SMART GROUP HOUSTON | RIDGEBACK CAPITAL MANAGEMENT

CRD#: 113848 / SEC#: 801-79515

RIA

Registered Investment Advisory firm - (4/25/2014 Approved)

Oregon

Registered Investment Advisory firm - (11/21/2006 Terminated)

Texas

Registered Investment Advisory firm - (4/30/2014 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

6750 West Loop South Suite 1080, Bellaire, TX 77401

Mailing Address

Phone number

(713) 667-4026

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RIDGEBACK ADV2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	492
AUM (Assets Under Management)	$ 185,510,000

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.

Similar Advisors

Troy Wootton

EDWARD JONES

IAR

Sugar Land, TX

Darren Dindinger

ALLWORTH FINANCIAL, L.P.

IAR

Orting, WA

Li-e Wang

TRANSAMERICA FINANCIAL ADVISORS, LLC

Houston, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael C. Kuznicki

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

KOVACK SECURITIES INC.

RESOURCE HORIZONS GROUP LLC

RESOURCE HORIZONS GROUP LLC

WALNUT STREET SECURITIES, INC.

SIGNAL SECURITIES, INC.

CADARET, GRANT & CO., INC.

MONY SECURITIES CORPORATION

Primary Firm SEC Registration

RIDGEBACK CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 10/9/1995

Series 63

Date: 7/5/1995

SIE

Date: 12/31/2014

Series 7

Date: 6/5/1995

Series 24

Date: 3/4/1998

Current Firm

RIDGEBACK CAPITAL MANAGEMENT

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RIDGEBACK CAPITAL MANAGEMENT

TRUST BUT VERIFY

Similar Advisors