Michael G. Sindici

ARISTOTLE CAPITAL MANAGEMENT

SAN DIEGO, CA

CRD#: 2938614

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Professional summary

Michael Gregg Sindici, who also goes by Michael Sendici, is a registered financial advisor currently at ARISTOTLE CAPITAL MANAGEMENT, LLC located in San Diego, California and FORESIDE FINANCIAL SERVICES, LLC located in Newport Beach, California.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Sendici

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 Gregg Sindici'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 6, 2015 - Present

ARISTOTLE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 109876

SAN DIEGO, CA

Current

October 11, 2023 - Present

FORESIDE FINANCIAL SERVICES, LLC

Office #1: 840 Newport Center Drive Suite 700, Newport Beach, CA 92660

CRD#: 148477

Newport Beach, CA

Past

June 23, 2014 - October 24, 2023

IMST DISTRIBUTORS, LLC

CRD#: 130745

Newport Beach, CA

Past

September 1, 2011 - April 8, 2014

NUVEEN ASSET MANAGEMENT, LLC

RIA

CRD#: 155584

CHICAGO, IL

Past

November 12, 2010 - September 1, 2011

NUVEEN FUND ADVISORS, LLC

RIA

CRD#: 104626

CHICAGO, IL

Past

November 12, 2010 - April 8, 2014

NUVEEN SECURITIES, LLC

CRD#: 469

SAN DIEGO, CA

Past

February 5, 2010 - November 11, 2010

LAZARD ASSET MANAGEMENT SECURITIES LLC

CRD#: 129119

NEW YORK, NY

Past

August 16, 2005 - January 19, 2010

NUVEEN FUND ADVISORS, LLC

RIA

CRD#: 104626

CHICAGO, IL

Past

August 10, 2005 - January 19, 2010

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

February 1, 2001 - August 9, 2004

TCW FUNDS DISTRIBUTORS LLC

CRD#: 16670

LOS ANGELES, 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".

ARISTOTLE CAPITAL MANAGEMENT, LLC

ARISTOTLE | REED CONNER & BIRDWELL LLC | REED CONNER & BIRDWELL | ARISTOTLE CAPITAL MANAGEMENT, LLC

CRD#: 109876 / SEC#: 801-60014

RIA

Registered Investment Advisory firm - (2/8/2001 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

Alabama
(10/24/2023)

Alaska
(10/24/2023)

Arizona
(10/24/2023)

Arkansas
(10/24/2023)

IAR

California
(10/6/2015)

California
(10/24/2023)

Colorado
(10/24/2023)

Connecticut
(10/24/2023)

Delaware
(10/24/2023)

District of Columbia
(10/24/2023)

Florida
(10/24/2023)

Georgia
(10/24/2023)

Hawaii
(10/24/2023)

Idaho
(10/24/2023)

Illinois
(10/24/2023)

Indiana
(10/24/2023)

Iowa
(10/24/2023)

Kansas
(10/24/2023)

Kentucky
(10/24/2023)

Louisiana
(10/24/2023)

Maine
(10/24/2023)

Maryland
(10/24/2023)

Massachusetts
(10/24/2023)

Michigan
(10/24/2023)

Minnesota
(10/24/2023)

Mississippi
(10/24/2023)

Missouri
(10/24/2023)

Montana
(10/24/2023)

Nebraska
(10/24/2023)

Nevada
(10/24/2023)

New Hampshire
(10/24/2023)

New Jersey
(10/24/2023)

New Mexico
(10/24/2023)

New York
(10/24/2023)

North Carolina
(10/24/2023)

North Dakota
(10/24/2023)

Ohio
(10/25/2023)

Oklahoma
(10/24/2023)

Oregon
(10/24/2023)

Pennsylvania
(10/24/2023)

Puerto Rico
(10/24/2023)

Rhode Island
(10/24/2023)

South Carolina
(10/24/2023)

South Dakota
(10/24/2023)

Tennessee
(3/19/2024)

Texas
(10/24/2023)

Utah
(10/24/2023)

Vermont
(10/24/2023)

Virgin Islands
(10/24/2023)

Virginia
(10/24/2023)

Washington
(10/24/2023)

West Virginia
(10/24/2023)

Wisconsin
(10/24/2023)

Wyoming
(10/24/2023)

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

Series 63

Date: 4/4/2001

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/27/1999

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/31/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/25/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ARISTOTLE CAPITAL MANAGEMENT, LLC

ARISTOTLE | REED CONNER & BIRDWELL LLC | REED CONNER & BIRDWELL | ARISTOTLE CAPITAL MANAGEMENT, LLC

CRD#: 109876 / SEC#: 801-60014

RIA

Registered Investment Advisory firm - (2/8/2001 Approved)

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Contact information

Main Address

11100 Santa Monica Blvd Suite 1700, Los Angeles, CA 90025-0449

Mailing Address

Phone number

(310) 478-4005

Established

Firm type

Fiscal year end

# of Employees

170

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ACM FORM ADV PART 2A (3/19/2026)

Regulatory assets under management

Total Number of Accounts	5,169
AUM (Assets Under Management)	$ 43,543,321,650

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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Advisor Monitoring

Firm Stability Insights

Michael G. Sindici

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Gregg Sindici's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FINANCIAL SERVICES, LLC

IMST DISTRIBUTORS, LLC

NUVEEN ASSET MANAGEMENT, LLC

NUVEEN FUND ADVISORS, LLC

NUVEEN SECURITIES, LLC

LAZARD ASSET MANAGEMENT SECURITIES LLC

NUVEEN FUND ADVISORS, LLC

NUVEEN SECURITIES, LLC

TCW FUNDS DISTRIBUTORS LLC

Primary Firm SEC Registration

ARISTOTLE CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/4/2001

Series 65

Date: 12/27/1999

SIE

Date: 10/1/2018

Series 7

Date: 1/31/2001

Series 24

Date: 6/25/2007

FINRA

Current Firm

ARISTOTLE CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARISTOTLE CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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