Michael J. Lockitch

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CRD#: 2709889

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 Jonathan Lockitch, who also goes by Michael Lockitch, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Lockitch

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. NuSkin Supplement and cosmetic multi-level-marketing company. Independent distributor. Start: 08/01/2015 Address: 75 West Center Provo, UT 84601 5 non bus hrs per month Not investment related 2. Programming Consulting Creating requested projects for computer programming in SQL, VB, C# and .net as well as in excel with macro building. Start: 06/04/2018 Address: 3113 Spectrum, Irvine, CA 92618 Hrs per month - tot/bus: 30/10 Not investment related

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®

None

Experience

Past

April 13, 2021 - December 4, 2023

WEALTH TEAMS ALLIANCE

RIA

CRD#: 168907

Irvine, CA

Past

November 23, 2015 - May 31, 2019

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

IRVINE, CA

Past

November 23, 2015 - May 31, 2019

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEWPORT BEACH, CA

Past

August 18, 2015 - October 17, 2015

CAPITAL SYNERGY PARTNERS

RIA

CRD#: 148733

IRVINE, CA

Past

August 10, 2015 - October 17, 2015

CAPITAL SYNERGY PARTNERS

CRD#: 148733

IRVINE, CA

Past

December 18, 2000 - December 31, 2002

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

May 8, 1999 - December 18, 2000

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

August 21, 1996 - May 4, 1999

DRESDNER KLEINWORT WASSERSTEIN, LLC

CRD#: 22068

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".

WEALTH TEAMS ALLIANCE

CRD#: 168907 / SEC#: 801-122977

RIA

Registered Investment Advisory firm - (1/3/2022 Approved)

California

Registered Investment Advisory firm - (1/21/2023 Terminated)

Colorado

Registered Investment Advisory firm - (11/9/2018 Terminated)

Florida

Registered Investment Advisory firm - (12/22/2022 Terminated)

Kansas

Registered Investment Advisory firm - (12/22/2022 Terminated)

Michigan

Registered Investment Advisory firm - (11/16/2018 Terminated)

Minnesota

Registered Investment Advisory firm - (3/13/2018 Terminated)

Rhode Island

Registered Investment Advisory firm - (11/8/2018 Terminated)

Texas

Registered Investment Advisory firm - (12/22/2022 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 66

Date: 8/17/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/11/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/10/2015

General Securities Representative Examination

Current Firm

WEALTH TEAMS ALLIANCE

CRD#: 168907 / SEC#: 801-122977

RIA

Registered Investment Advisory firm - (1/3/2022 Approved)

California

Registered Investment Advisory firm - (1/21/2023 Terminated)

Colorado

Registered Investment Advisory firm - (11/9/2018 Terminated)

Florida

Registered Investment Advisory firm - (12/22/2022 Terminated)

Kansas

Registered Investment Advisory firm - (12/22/2022 Terminated)

Michigan

Registered Investment Advisory firm - (11/16/2018 Terminated)

Minnesota

Registered Investment Advisory firm - (3/13/2018 Terminated)

Rhode Island

Registered Investment Advisory firm - (11/8/2018 Terminated)

Texas

Registered Investment Advisory firm - (12/22/2022 Terminated)

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Contact information

Main Address

15520 Rockfield Blvd Suite G, Irvine, CA 92618

Mailing Address

Phone number

(877) 282-4768

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WEALTH TEAMS ALLIANCE WRAP BROCHURE (3/28/2025)

WEALTH TEAMS ALLIANCE ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	950
AUM (Assets Under Management)	$ 205,554,000

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.

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Advisor Monitoring

Firm Stability Insights

Michael J. Lockitch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

CAPITAL SYNERGY PARTNERS

CAPITAL SYNERGY PARTNERS

CREDIT SUISSE SECURITIES (USA) LLC

PERSHING LLC

DRESDNER KLEINWORT WASSERSTEIN, LLC

Primary Firm SEC Registration

WEALTH TEAMS ALLIANCE

State Registrations and Notice Filings

Exams

Series 66

Date: 8/17/2015

Series 63

Date: 8/11/1999

SIE

Date: 10/1/2018

Series 7

Date: 8/10/2015

Current Firm

WEALTH TEAMS ALLIANCE

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTH TEAMS ALLIANCE

TRUST BUT VERIFY

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