Michael S. Games

SEI INVESTMENTS MANAGEMENT CORP

Bellevue, KY

Some features on this profile are disabled

CRD#: 2773040

Professional summary

Michael Scott Games, who also goes by M S Games, M Games, M. Scott Games, Scott Games, is a registered financial advisor currently at SEI INVESTMENTS MANAGEMENT CORP located in Bellevue, Kentucky and SEI INVESTMENTS DISTRIBUTION CO. located in Oaks, Pennsylvania.

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 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

M S Games | M Games | M. Scott Games | Scott Games

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Scott Games'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

July 8, 2020 - Present

SEI INVESTMENTS MANAGEMENT CORP

RIA

CRD#: 105146

Bellevue, KY

Current

July 8, 2020 - Present

SEI INVESTMENTS DISTRIBUTION CO.

Office #1: One Freedom Valley Drive, Oaks, PA 19456

CRD#: 10690

Oaks, PA

Past

July 21, 2014 - June 15, 2020

ROSS, SINCLAIRE & ASSOCIATES, LLC

RIA

CRD#: 25440

CINCINNATI, OH

Past

July 17, 2014 - June 15, 2020

ROSS, SINCLAIRE & ASSOCIATES, LLC

CRD#: 25440

CINCINNATI, OH

Past

May 21, 2008 - July 15, 2014

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

CINCINNATI, OH

Past

May 21, 2008 - July 15, 2014

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

Past

August 7, 2007 - October 29, 2007

ESSEX NATIONAL SECURITIES, LLC

RIA

CRD#: 25454

MT. ORAB, OH

Past

July 31, 2007 - October 29, 2007

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

MT. ORAB, OH

Past

August 1, 2005 - July 25, 2007

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CINCINNATI, OH

Past

July 25, 2005 - July 25, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

CINCINNATI, OH

Past

July 30, 1996 - May 23, 2005

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

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".

SEI INVESTMENTS MANAGEMENT CORP

CRD#: 105146 / SEC#: 801-24593

RIA

Registered Investment Advisory firm - (6/27/1985 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

Kentucky
(7/8/2020)

IAR

Kentucky
(7/10/2020)

Pennsylvania
(7/8/2020)

IAR

Pennsylvania
(7/8/2020)

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 66

Date: 7/29/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/12/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/18/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/29/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/11/2008

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SEI INVESTMENTS MANAGEMENT CORP

CRD#: 105146 / SEC#: 801-24593

RIA

Registered Investment Advisory firm - (6/27/1985 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

One Freedom Valley Drive, Oaks, PA 19456

Mailing Address

Phone number

(610) 676-1000

Established

Firm type

Fiscal year end

# of Employees

447

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SIMC FORM ADV PART 2A - INDEPENDENT ADVISOR SOLUTIONS BY SEI (8/15/2025)

SIMC FORM ADV PART 2A - SEI PRIVATE BANKING (3/31/2025)

SIMC WRAP FEE BROCHURE - MANAGED ACCOUNT SOLUTIONS (INDEPENDENT ADVISOR SOLUTIONS BY SEI) (3/31/2025)

SIMC WRAP FEE BROCHURE - MANAGED ACCOUNT SOLUTIONS (PRIVATE WEALTH MANAGEMENT) (3/31/2025)

SIMC FORM ADV PART 2A - SEI INSTITUTIONAL GROUP (3/31/2025)

SIMC FORM ADV PART 2A - SEI PRIVATE WEALTH MANAGEMENT (3/31/2025)

Regulatory assets under management

Total Number of Accounts	99,603
AUM (Assets Under Management)	$ 198,143,431,156

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
01/27/2025	Cover Page	Report
10/25/2023	Cover Page	Report
01/27/2023	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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael S. Games

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Scott Games's CRS (Customer Relationship Summary).

Certified licenses

Experience

SEI INVESTMENTS DISTRIBUTION CO.

ROSS, SINCLAIRE & ASSOCIATES, LLC

ROSS, SINCLAIRE & ASSOCIATES, LLC

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

ESSEX NATIONAL SECURITIES, LLC

ESSEX NATIONAL SECURITIES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

SEI INVESTMENTS MANAGEMENT CORP

State Registrations and Notice Filings

Exams

Series 66

Date: 7/29/2005

Series 63

Date: 8/12/1996

SIE

Date: 10/1/2018

Series 7

Date: 12/18/2003

Series 6

Date: 7/29/1996

Series 24

Date: 7/11/2008

FINRA

Current Firm

SEI INVESTMENTS MANAGEMENT CORP

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SEI INVESTMENTS MANAGEMENT CORP

TRUST BUT VERIFY

Similar Advisors