MV
Michael S. Vincent
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CRD#: 2629778
MV
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 Scott Vincent, who also goes by Mike Scott VIncent, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1995. Michael had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mike Scott Vincent
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.
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®
NoneExperience
Past
April 4, 2017 - June 28, 2019
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT
RIA
CRD#: 151298
Bellevue, WA
Past
December 16, 2013 - April 10, 2017
PRIVATE ADVISOR GROUP, LLC
RIA
CRD#: 155216
BELLEVUE, WA
Past
July 22, 2013 - March 7, 2014
KESTRA PRIVATE WEALTH SERVICES, LLC
RIA
CRD#: 155193
BELLEVUE, WA
Past
July 22, 2013 - June 27, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
BELLEVUE, WA
Past
January 3, 2011 - July 24, 2013
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SEATTLE, WA
Past
January 3, 2011 - July 24, 2013
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SEATTLE, WA
Past
September 29, 2006 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
SEATTLE, WA
Past
September 29, 2006 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SEATTLE, WA
Past
September 11, 2000 - October 2, 2006
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SEATTLE, WA
Past
October 15, 1999 - October 2, 2006
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SEATTLE, WA
Past
July 27, 1995 - November 2, 1999
PIPER SANDLER & CO.
BD
CRD#: 665
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".
FA
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT
4:8 FINANCIAL | WILLAMETTE WEALTH MANAGEMENT | WHITE PINE WEALTH MANAGEMENT | WEALTH MANAGEMENT SOLUTIONS | WASATCH PEAKS FINANCIAL SERVICES | WAGSTAFF FINANCIAL | VON BORSTEL & ASSOCIATES | VINTAGE WEALTH ADVISORS | VERITAS WEALTH MANAGEMENT | VELIZ FINANCIAL MANAGEMENT | TYPE A FINANCIAL | TRUERETIREMENT | TRU FINANCIAL | TRIAD FINANCIAL STRATEGIES | TRADEWINDS WEALTH MANAGEMENT | TALLUS CAPITAL MANAGEMENT | TALLUS CAPITAL ADVISORS | SUNRISE WEALTH MANAGEMENT | STRATEGIC WEALTH PARTNERS | STRASSMAN & ASSOC. WEALTH MANAGEMENT | STONERIDGE WEALTH MANAGEMENT | SOUND WEALTH SERVICES | SIGNALINE INVESTMENTS. | SHERPA GUIDED WEALTH | SCS RETIREMENT | SAGE WEALTH MANAGEMENT | RENNAKER FINANCIAL | QE WEALTH MANAGEMENT | PRIZM FINANCIAL | PNW WEALTH MANAGEMENT | PINNACLE FINANCIAL GROUP | PHE FINANCIAL STRATEGIES | PETERS FINANCIAL GROUP | PARTNERSHIP WEALTH MANAGEMENT | PACE FINANCIAL ADVISORS | OLYMPIC INVESTMENT GROUP | NF ADVISORS | NEXUS STRATEGIC WEALTH | NEXT STEPS WEALTH MANAGEMENT | NEWPORT FINANCIAL PLANNING | MOMENTUM WEALTH STRATEGIES | MDM WEALTH MANAGEMENT | MATTESON INVESTMENT RESOURCES | MACKESON ADVISORY | LOCHNER WEALTH MANAGEMENT | LEWIS WEALTH MANAGEMENT PARTNERS | LEGACY WEALTH MANAGEMENT | LEE S. MARTIN | LATONA WEALTH PARTNERS | KIMBALL CREEK PARTNERS | KERRIGAN FINANCIAL MANAGEMENT | JPS WEALTH MANAGEMENT | JPS NEWTON | JMK & ASSOCIATES | INVEX FINANCIAL | INTEGRITY WEALTH ADVISORS | INDIGO WEALTH MANAGEMENT | ICON RETIREMENT AND INVESTMENT SERVICES | HOYT, LEWIS & ASSOCIATES | HERRIN FINANCIAL | HALE LAMB ASSOCIATES | GET CLARITY FINANCIAL SERVICES | FULL CIRCLE WEALTH STRATEGIES | FOUNTAIN STRATEGIES | FORS FINANCIAL CONSULTING | FORESEE WEALTH ADVISORS | FOCUSED FINANCIAL MANAGEMENT GROUP | FIRST FINANCIAL WEALTH SERVICES | FINANCIAL STRATEGIES GROUP | FINANCIAL SPYGLASS | FINANCIAL ADVOCATES INVESTMENT MANAGEMENT NORCAL | FINANCIAL ADVOCATES INVESTMENT MANAGEMENT | FELLOWSHIP FINANCIAL PLANNING | ENCOMPASS WEALTH MANAGEMENT | EMBER WEALTH CONCEPTS & FINANCIAL PLANNING | ECF WEALTH | DAVIS GLOBAL WEALTH MANAGEMENT | CYNDY KOCHER | CREEKSTONE FINANCIAL CONSULTING | CORNERSTONE WEALTH STRATEGIES | CORNERSTONE FINANCIAL STRATEGIES | CORNERSTONE CONSULTING GROUP | COPPERLINE WEALTH MANAGEMENT & PLANNING | COMPASS WEALTH ADVISORY | COMPASS FINANCIAL LLC | COMPASS FINANCIAL | CLEARPOINT WEALTH MANAGEMENT | CLEARPOINT FINANCIAL PARTNERS | CLEARPOINT FINANCIAL | CLEARPOINT CAPITAL | CLEARPOINT COLLEGE PLANNING | CLEAR RETIREMENT GROUP | CLEAR RESOURCE GROUP | CLEAR CREEK WEALTH MANAGEMENT | CHAMBERS BAY ADVISORS | CARTOGRAPH WEALTH | CARRERA RETIREMENT COMPANY | CAPITOL FAMILY OFFICE | CAMERON WEALTH MANAGEMENT | CAMERON ADVISORY SERVICES | CAMBRIDGE WEALTH MANAGEMENT | CADILLAC WEALTH ADVISORS | BWA FINANCIAL | BEST WEALTH MANAGEMENT | BELLE FINANCIAL | BASILICA WEALTH MANAGEMENT | BAILEY WEALTH MANAGEMENT | B3 WEALTH STRATEGIES | AMERISAL FINANCIAL | AMERICAN UNITED INVESTMENT SERVICES
CRD#: 151298 / SEC#: 801-71546
RIA
Registered Investment Advisory firm - (6/15/2010 Approved)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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FA
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT
4:8 FINANCIAL | WILLAMETTE WEALTH MANAGEMENT | WHITE PINE WEALTH MANAGEMENT | WEALTH MANAGEMENT SOLUTIONS | WASATCH PEAKS FINANCIAL SERVICES | WAGSTAFF FINANCIAL | VON BORSTEL & ASSOCIATES | VINTAGE WEALTH ADVISORS | VERITAS WEALTH MANAGEMENT | VELIZ FINANCIAL MANAGEMENT | TYPE A FINANCIAL | TRUERETIREMENT | TRU FINANCIAL | TRIAD FINANCIAL STRATEGIES | TRADEWINDS WEALTH MANAGEMENT | TALLUS CAPITAL MANAGEMENT | TALLUS CAPITAL ADVISORS | SUNRISE WEALTH MANAGEMENT | STRATEGIC WEALTH PARTNERS | STRASSMAN & ASSOC. WEALTH MANAGEMENT | STONERIDGE WEALTH MANAGEMENT | SOUND WEALTH SERVICES | SIGNALINE INVESTMENTS. | SHERPA GUIDED WEALTH | SCS RETIREMENT | SAGE WEALTH MANAGEMENT | RENNAKER FINANCIAL | QE WEALTH MANAGEMENT | PRIZM FINANCIAL | PNW WEALTH MANAGEMENT | PINNACLE FINANCIAL GROUP | PHE FINANCIAL STRATEGIES | PETERS FINANCIAL GROUP | PARTNERSHIP WEALTH MANAGEMENT | PACE FINANCIAL ADVISORS | OLYMPIC INVESTMENT GROUP | NF ADVISORS | NEXUS STRATEGIC WEALTH | NEXT STEPS WEALTH MANAGEMENT | NEWPORT FINANCIAL PLANNING | MOMENTUM WEALTH STRATEGIES | MDM WEALTH MANAGEMENT | MATTESON INVESTMENT RESOURCES | MACKESON ADVISORY | LOCHNER WEALTH MANAGEMENT | LEWIS WEALTH MANAGEMENT PARTNERS | LEGACY WEALTH MANAGEMENT | LEE S. MARTIN | LATONA WEALTH PARTNERS | KIMBALL CREEK PARTNERS | KERRIGAN FINANCIAL MANAGEMENT | JPS WEALTH MANAGEMENT | JPS NEWTON | JMK & ASSOCIATES | INVEX FINANCIAL | INTEGRITY WEALTH ADVISORS | INDIGO WEALTH MANAGEMENT | ICON RETIREMENT AND INVESTMENT SERVICES | HOYT, LEWIS & ASSOCIATES | HERRIN FINANCIAL | HALE LAMB ASSOCIATES | GET CLARITY FINANCIAL SERVICES | FULL CIRCLE WEALTH STRATEGIES | FOUNTAIN STRATEGIES | FORS FINANCIAL CONSULTING | FORESEE WEALTH ADVISORS | FOCUSED FINANCIAL MANAGEMENT GROUP | FIRST FINANCIAL WEALTH SERVICES | FINANCIAL STRATEGIES GROUP | FINANCIAL SPYGLASS | FINANCIAL ADVOCATES INVESTMENT MANAGEMENT NORCAL | FINANCIAL ADVOCATES INVESTMENT MANAGEMENT | FELLOWSHIP FINANCIAL PLANNING | ENCOMPASS WEALTH MANAGEMENT | EMBER WEALTH CONCEPTS & FINANCIAL PLANNING | ECF WEALTH | DAVIS GLOBAL WEALTH MANAGEMENT | CYNDY KOCHER | CREEKSTONE FINANCIAL CONSULTING | CORNERSTONE WEALTH STRATEGIES | CORNERSTONE FINANCIAL STRATEGIES | CORNERSTONE CONSULTING GROUP | COPPERLINE WEALTH MANAGEMENT & PLANNING | COMPASS WEALTH ADVISORY | COMPASS FINANCIAL LLC | COMPASS FINANCIAL | CLEARPOINT WEALTH MANAGEMENT | CLEARPOINT FINANCIAL PARTNERS | CLEARPOINT FINANCIAL | CLEARPOINT CAPITAL | CLEARPOINT COLLEGE PLANNING | CLEAR RETIREMENT GROUP | CLEAR RESOURCE GROUP | CLEAR CREEK WEALTH MANAGEMENT | CHAMBERS BAY ADVISORS | CARTOGRAPH WEALTH | CARRERA RETIREMENT COMPANY | CAPITOL FAMILY OFFICE | CAMERON WEALTH MANAGEMENT | CAMERON ADVISORY SERVICES | CAMBRIDGE WEALTH MANAGEMENT | CADILLAC WEALTH ADVISORS | BWA FINANCIAL | BEST WEALTH MANAGEMENT | BELLE FINANCIAL | BASILICA WEALTH MANAGEMENT | BAILEY WEALTH MANAGEMENT | B3 WEALTH STRATEGIES | AMERISAL FINANCIAL | AMERICAN UNITED INVESTMENT SERVICES
CRD#: 151298 / SEC#: 801-71546
RIA
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Contact information
Main Address
1601 Cooper Point Road Nw, Olympia, WA 98502
Mailing Address
Phone number
(360) 866-2345
Established
Firm type
Fiscal year end
# of Employees
85
SEC notice filing (48 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 18,288 |
| AUM (Assets Under Management) | $ 4,074,541,185 |
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.
