MS
Mike S. Saul
CARY STREET PARTNERS
Morristown, NJ 07960
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CRD#: 2639925
MS
Professional summary
Mike Scott Saul, who also goes by Michael Scott Saul, Michael Saul, is a registered financial advisor currently at CARY STREET PARTNERS located in Morristown, New Jersey and CARY STREET PARTNERS located in Morristown, New Jersey.
Mike is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Mike has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Scott Saul | Michael Saul
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) OCEAN VIEW CONDO ASSOCIATION. NOT INVESTMENT RELATED. LOCATED AT 5901 ATLANTIC AVENUE, WILDWOOD CREST, NEW JERSEY 08260. TITLE IS TRUSTEE. STARTED 7/4/2016. 1 HR/MO DEVOTED - 0 DURING TRADING. DUTIES ARE UNIT BUILDING WHERE TRUSTEES CHOOSE VENDORS AND CARE FOR THE BUILDING. 2)JEWISH FOUNDATION OF SOMERSET, HUNTERDON & WARREN COUNTY, NJ. NOT INVESTMENT RELATED. LOCATED AT 775 TALAMINI ROAD, BRIDGEWATER, NJ 08807. NATURE OF BUSINESS IS JEWISH COMMUNITY ORGANIZATION. TITLE IS BOARD MEMBER. STARTED 05/2003. 4 HRS/MO - 0 DURING TRADING. DUTIES ARE TO HELP FUNDRAISING TO SUPPORT THEIR COMMUNITY ACTIVITIES. 3)JEWISH COMMUNITY FOUNDATION OF GREATER PRINCETON, NJ. INVESTMENT RELATED. LOCATED AT 457 NASSAU STREET, PRINCETON, NJ. NATURE OF BUSINESS IS JEWISH COMMUNITY ORGANIZATION. POSITION: COMMITTEE INVESTMENT MEMBER. MIKE GIVES ABOUT 1 HRS/MO - 0 DURING TRADING. HE DOES PROVIDE INVESTMENT ADVICE AS PART OF HIS ROL AND WILL BE INVOLVED IN HANDLING OF THE ENTITY'S FUNDS. MIKE IS NOT COMPENSATED FOR THIS POSITION.
CRS (Client Relationship Summary) - RIA
Click below to view Mike Scott Saul'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®
NoneExperience
Current
October 16, 2025 - Present
CARY STREET PARTNERS
Office #1: 1200 Mt. Kemble Avenue Suite 100, Morristown, NJ 07960RIA
CRD#: 128545
Morristown, NJ
Current
October 16, 2025 - Present
CARY STREET PARTNERS
Office #1: 1200 Mount Kemble Ave. Suite 100, Morristown, NJ 07960BD
CRD#: 128089
Morristown, NJ
Past
November 11, 2020 - October 21, 2025
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Madison, NJ
Past
June 17, 2019 - October 7, 2020
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Short Hills, NJ
Past
May 23, 2019 - October 21, 2025
TRANSCEND CAPITAL ADVISORS, LLC
RIA
CRD#: 299723
MADISON, NJ
Past
November 21, 1997 - May 24, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SHORT HILLS, NJ
Past
September 7, 1995 - May 24, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SHORT HILLS, NJ
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".
CS
CARY STREET PARTNERS
CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC
CRD#: 128545 / SEC#: 801-64239
RIA
Registered Investment Advisory firm - (8/12/2005 Approved)Virginia
Registered Investment Advisory firm - (3/2/2007 Terminated)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.RR
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
RR
Florida(10/16/2025)
RR
Georgia(10/16/2025)
RR
Maryland(11/4/2025)
RR
New Jersey(10/16/2025)
IAR
New Jersey(10/16/2025)
RR
New York(10/16/2025)
RR
Pennsylvania(10/16/2025)
IAR
Texas(10/16/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CARY STREET PARTNERS
CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC
CRD#: 128545 / SEC#: 801-64239
RIA
Registered Investment Advisory firm - (8/12/2005 Approved)Virginia
Registered Investment Advisory firm - (3/2/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
901 East Byrd Street Suite 1001, Richmond, VA 23219
Mailing Address
Phone number
(804) 340-8100
Established
Firm type
Fiscal year end
# of Employees
166
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,853 |
| AUM (Assets Under Management) | $ 8,263,891,736 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/22/2024 | ||
| 07/25/2023 | ||
| 01/27/2023 |
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.
