Michael V. Mccormick

CETERA INVESTMENT ADVISERS LLC | Financial Advisor

SUN CITY, FL 33573

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CRD#: 2877879

Professional summary

Michael Vincent Mccormick, who also goes by Michael Mccormick, Michael VIncent Mccormick, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sun City, Florida and CETERA WEALTH SERVICES, LLC located in Sun City, Florida.

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 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Retirement Income Strategies

Investment Management

Wealth Preservation Strategies

Are you a "fiduciary"?

Yes

Aliases

Michael Mccormick | Michael Vincent Mccormick

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. NAME OF OTHER BUSINESS: SOUTHSHORE WEALTH MANAGEMENT; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 6/2024, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Vincent Mccormick'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 26, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1601 Rickenbacker Dr Ste 1, Sun City, FL 33573

RIA

CRD#: 105644

SUN CITY, FL

Current

June 26, 2024 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1601 Rickenbacker Dr Ste 1, Sun City, FL 33573

CRD#: 7556

PURCHASE, NY

Past

February 26, 2003 - January 8, 2004

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

NEW YORK, NY

Past

April 20, 1998 - February 13, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

June 24, 1997 - July 30, 1997

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

Past

April 21, 1997 - July 1, 1997

JOSEPH CHARLES & ASSOC., INC.

CRD#: 3949

BOCA RATON, FL

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

Colorado
(6/26/2024)

Connecticut
(6/26/2024)

Florida
(6/26/2024)

IAR

Florida
(7/8/2024)

Illinois
(6/26/2024)

Iowa
(9/16/2025)

Maine
(6/26/2024)

Maryland
(6/26/2024)

Massachusetts
(6/26/2024)

Michigan
(6/26/2024)

Minnesota
(6/26/2024)

New Hampshire
(6/26/2024)

New Jersey
(6/26/2024)

New York
(6/26/2024)

Ohio
(6/26/2024)

Oklahoma
(6/26/2024)

Pennsylvania
(6/26/2024)

Texas
(6/26/2024)

IAR

Texas
(6/26/2024)

Virginia
(2/18/2025)

Wisconsin
(6/26/2024)

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: 12/15/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/1/1997

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: 4/17/1997

General Securities 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)

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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

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Michael V. Mccormick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Vincent Mccormick's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

GUGGENHEIM INVESTMENTS

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

ADVISORS ASSET MANAGEMENT, INC.

ADVISORS ASSET MANAGEMENT, INC.

VAN KAMPEN ADVISORS INC

INVESCO CAPITAL MARKETS, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

BLACKROCK INVESTMENTS, LLC

MORGAN STANLEY DW INC.

CHATFIELD DEAN & CO., INC.

JOSEPH CHARLES & ASSOC., INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/15/2004

Series 63

Date: 5/1/1997

SIE

Date: 10/1/2018

Series 7

Date: 4/17/1997

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

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