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EM

Elizabeth A. Mikkelson

WEALTHSPIRE RETIREMENT ADVISORY
Santa Barbara, CA 93101
Some features on this profile are disabled
CRD#: 2777990
EM

Professional summary

Elizabeth Ann Mikkelson, who also goes by Elizabeth Ann Mekkelson, Elizabeth Ann Mikkleson, is a registered financial advisor currently at WEALTHSPIRE RETIREMENT ADVISORY located in Santa Barbara, California.

Elizabeth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Elizabeth has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Elizabeth Ann Mekkelson | Elizabeth Ann Mikkleson

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 Elizabeth Ann Mikkelson'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

August 4, 2015 - Present

WEALTHSPIRE RETIREMENT ADVISORY

Office #1: 25 East Anapamu Street Second Floor, Santa Barbara, CA 93101
RIA
CRD#: 121254
Santa Barbara, CA
Past

April 20, 2015 - December 31, 2017

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
SANTA BARBARA, CA
Past

February 5, 2014 - April 14, 2015

LPL FINANCIAL LLC

BD
CRD#: 6413
SANTA BARBARA, CA
Past

October 18, 2011 - September 25, 2013

FINANCIAL TELESIS INC

BD
CRD#: 31012
SANTA BARBARA, CA
Past

November 22, 1996 - February 10, 1997

PLANMEMBER SECURITIES CORPORATION

BD
CRD#: 11869
CARPINTERIA, CA

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".
WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.

CRD#: 121254 / SEC#: 801-66107

RIA
Registered Investment Advisory firm - (1/31/2006 Approved)
California
Registered Investment Advisory firm - (2/9/2006 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.

Highlighted states indicate IAR registrations

IAR
California
(8/4/2015)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/4/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/9/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/17/2011
Investment Company Products/Variable Contracts Representative Examination

Current Firm

WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.

CRD#: 121254 / SEC#: 801-66107

RIA
Registered Investment Advisory firm - (1/31/2006 Approved)
California
Registered Investment Advisory firm - (2/9/2006 Terminated)
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Contact information

Main Address
120 Vantis Suite 400, Aliso Viejo, CA 92656
Mailing Address
Phone number
(949) 460-9898
Established
Firm type
Fiscal year end
# of Employees
240

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

NFP RETIREMENT (11/20/2025)

Regulatory assets under management

Total Number of Accounts9,394
AUM (Assets Under Management)$ 118,031,461,765

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.

Company Information

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254Santa Barbara, CA 93101

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