Michael E. Greenleaf

CETERA INVESTMENT ADVISERS LLC

HURRICANE, WV 25526

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CRD#: 2979088

Professional summary

Michael Ernest Greenleaf, who also goes by Michael E Greenleaf, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hurricane, West Virginia and CETERA FINANCIAL SPECIALISTS LLC located in Hurricane, West Virginia.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Michael has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael E Greenleaf

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) GREENLEAF AND ASSOCIATES INC; NOT INV REL; NITRO, WV; TAX & ACCOUNTING; PRESIDENT; START DATE 2/1/95; 160 HRS/MTH DURING SECURITIES TRADING HRS:

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Ernest Greenleaf'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

December 16, 2011 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 23 Chase Dr, Hurricane, WV 25526

RIA

CRD#: 105644

HURRICANE, WV

Current

December 13, 2011 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 23 Chase Dr, Hurricane, WV 25526

CRD#: 10358

Hurricane, WV

Past

November 5, 2007 - December 15, 2011

MONEY CONCEPTS CAPITAL CORP

RIA

CRD#: 12963

NITRO, WV

Past

November 1, 2007 - December 15, 2011

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

NITRO, WV

Past

July 12, 2007 - December 1, 2007

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

ST. ALBANS, WV

Past

April 8, 2004 - December 19, 2006

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

ST ALBENS, WV

Past

August 29, 2002 - December 1, 2007

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

ST ALBANS, WV

Past

January 9, 2001 - December 31, 2001

FIRST MONTAUK SECURITIES CORP.

RIA

CRD#: 13755

SCOTT DEPOT, WV

Past

February 23, 2000 - August 20, 2001

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

RED BANK, NJ

Past

April 17, 1998 - December 31, 1999

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

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

Ohio
(1/29/2019)

West Virginia
(12/13/2011)

IAR

West Virginia
(12/16/2011)

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: 3/10/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/10/1998

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: 4/6/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/31/2002

General Securities Principal 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.

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Advisor Monitoring

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Michael E. Greenleaf

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Ernest Greenleaf's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

MONEY CONCEPTS CAPITAL CORP

MONEY CONCEPTS CAPITAL CORP

AVANTAX ADVISORY SERVICES

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

FIRST MONTAUK SECURITIES CORP.

FIRST MONTAUK SECURITIES CORP.

WOODBURY FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/10/1999

Series 63

Date: 4/10/1998

SIE

Date: 10/1/2018

Series 7

Date: 4/6/1998

Series 24

Date: 12/31/2002

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

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