Michael J. Ferrell

CETERA INVESTMENT ADVISERS LLC

Edina, MN 55436

Some features on this profile are disabled

CRD#: 2765643

Professional summary

Michael James Ferrell, who also goes by Mike Ferrell, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Edina, Minnesota and CETERA WEALTH SERVICES, LLC located in Edina, Minnesota.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Ferrell

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.

NAME OF ENTITY:Prideaux Agency, Inc.; No; 4930 LINCOLN DRIVE; EDINA; MN; 55436; Insurance Agency; Independent Insurance Agent; 6/1/1999; 40; 40; Sales and Service of Fixed Insurance Products|NAME OF ENTITY:Lincoln Wealth Management; No; 4930 LINCOLN DRIVE; EDINA; MN; 55436; DBA securities and investment; Representative; 10/1/2014; 160; 160; sales of fixed insurance|NAME OF ENTITY: Independent Insurance Agent; Yes; 4930 LINCOLN DRIVE; EDINA; MN; 55436; Fixed Insurance Sales; Independent Insurance Agent; 10/15/2014; 40; 40; Sales of Fixed Insurance Products|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael James Ferrell'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

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 4930 Lincoln Drive, Edina, MN 55436

RIA

CRD#: 105644

Edina, MN

Current

June 9, 2021 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 4930 Lincoln Drive, Edina, MN 55436

CRD#: 13572

Edina, MN

Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

June 8, 2017 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

Edina, MN

Past

October 15, 2014 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

Edina, MN

Past

December 1, 2006 - October 20, 2014

QUESTAR CAPITAL CORPORATION

CRD#: 43100

EDINA, MN

Past

July 26, 2005 - December 1, 2006

USALLIANZ SECURITIES, INC.

CRD#: 40875

EDINA, MN

Past

January 5, 2001 - July 20, 2005

LIFEMARK SECURITIES CORP.

CRD#: 16204

ROCHESTER, NY

Past

March 13, 2000 - January 3, 2001

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

LOS ANGELES, CA

Past

July 26, 1999 - March 10, 2000

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

July 26, 1996 - June 22, 1999

TCF INVESTMENTS, INC.

CRD#: 34954

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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.

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

Arizona
(6/9/2021)

Colorado
(6/9/2021)

Florida
(9/6/2023)

Illinois
(3/16/2022)

Kentucky
(6/9/2021)

Minnesota
(6/9/2021)

IAR

Minnesota
(6/29/2023)

North Carolina
(6/9/2021)

North Dakota
(2/1/2022)

Texas
(6/9/2021)

IAR

Texas
(6/29/2023)

Wisconsin
(6/9/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/8/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/30/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/25/1996

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Chad Rusten

ELEMENT SQUARED PRIVATE WEALTH

IAR

Minneapolis, MN

Janai Deitt

THRIVENT INVESTMENT MANAGEMENT INC.

IAR

McKinney, TX

Steven Schmidt

LPL ENTERPRISE, LLC

IAR

ST. LOUIS PARK, MN

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael J. Ferrell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael James Ferrell's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

QUESTAR CAPITAL CORPORATION

USALLIANZ SECURITIES, INC.

LIFEMARK SECURITIES CORP.

TRANSAMERICA FINANCIAL ADVISORS, INC.

OSAIC FS, INC.

TCF INVESTMENTS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/8/2017

Series 63

Date: 7/30/1996

SIE

Date: 10/1/2018

Series 6

Date: 7/25/1996

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Contact information

Similar Advisors