Michael J. Mchugh

DIVERSIFY WEALTH MANAGEMENT

Cave Creek, AZ

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CRD#: 2839555

Professional summary

Michael Joseph Mchugh is a registered financial advisor currently at DIVERSIFY WEALTH MANAGEMENT, LLC located in Cave Creek, Arizona and DFPG INVESTMENTS, LLC located in Cave Creek, Arizona.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Joseph Mchugh'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

October 4, 2024 - Present

DIVERSIFY WEALTH MANAGEMENT, LLC

RIA

CRD#: 329878

Cave Creek, AZ

Current

October 4, 2024 - Present

DFPG INVESTMENTS, LLC

CRD#: 155576

Cave Creek, AZ

Past

April 2, 2015 - October 29, 2024

ROBERT W. BAIRD & CO. INCORPORATED

RIA

CRD#: 8158

DENVER, CO

Past

April 2, 2015 - October 29, 2024

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

DENVER, CO

Past

October 30, 2006 - March 31, 2015

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

DENVER, CO

Past

November 28, 1997 - March 31, 2015

CHARLES SCHWAB & CO., INC.

CRD#: 5393

DENVER, CO

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".

DIVERSIFY WEALTH MANAGEMENT, LLC

CRD#: 329878 / SEC#: 801-129521

RIA

Registered Investment Advisory firm - (2/16/2024 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
(10/4/2024)

IAR

Arizona
(10/7/2024)

California
(10/4/2024)

Colorado
(10/4/2024)

IAR

Colorado
(10/4/2024)

Florida
(10/4/2024)

IAR

Texas
(1/31/2025)

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: 10/11/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/14/1997

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: 11/6/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 7/25/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/16/2001

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

DIVERSIFY WEALTH MANAGEMENT, LLC

CRD#: 329878 / SEC#: 801-129521

RIA

Registered Investment Advisory firm - (2/16/2024 Approved)

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Contact information

Main Address

9017 S Riverside Dr Suite 210, Sandy, UT 84070

Mailing Address

Phone number

(801) 838-9999

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DIVERSIFY WEALTH MANAGEMENT (7/25/2025)

Regulatory assets under management

Total Number of Accounts	12,760
AUM (Assets Under Management)	$ 2,526,799,821

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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Firm Stability Insights

Michael J. Mchugh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Joseph Mchugh's CRS (Customer Relationship Summary).

Certified licenses

Experience

DFPG INVESTMENTS, LLC

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

DIVERSIFY WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/11/2005

Series 63

Date: 11/14/1997

SIE

Date: 10/1/2018

Series 7

Date: 11/6/1997

Series 10

Date: 7/25/2001

Series 9

Date: 5/16/2001

FINRA

Current Firm

DIVERSIFY WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DIVERSIFY WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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