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AM

Andrew L. Michaud

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CRD#: 2987898
AM

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Andrew Leon Michaud, who also goes by Andrew Michaud, was a registered financial professional .

Andrew is a previously registered financial professional and started their career in finance in 1998. Andrew had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Andrew Michaud

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 9, 2016 - September 23, 2016

FLAGSHIP HARBOR ADVISORS, LLC

RIA
CRD#: 155733
YARMOUTH, ME
Past

August 3, 2016 - November 9, 2016

LPL FINANCIAL LLC

BD
CRD#: 6413
YARMOUTH, ME
Past

January 26, 2015 - May 13, 2016

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
WESTBROOK, ME
Past

March 6, 2014 - May 13, 2016

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
WESTBROOK, ME
Past

January 3, 2014 - January 30, 2014

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
PORTLAND, ME
Past

March 15, 2013 - May 10, 2013

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
PORTLAND, ME
Past

April 14, 2010 - August 9, 2012

MML DISTRIBUTORS, LLC

BD
CRD#: 38030
SPRINGFIELD, MA
Past

October 10, 2008 - April 14, 2010

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
ENFIELD, CT
Past

June 20, 2007 - October 6, 2008

MML DISTRIBUTORS, LLC

BD
CRD#: 38030
ENFIELD, CT
Past

October 24, 2006 - April 25, 2007

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
CUMBERLAND FORESIDE, ME
Past

April 2, 2004 - April 25, 2007

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
CUMBERLAND FORESIDE, ME
Past

April 2, 2004 - April 25, 2007

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
CUMBERLAND FORESIDE, ME
Past

April 23, 1998 - December 31, 2002

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

January 26, 1998 - March 31, 1998

BROKERAGE ADMINISTRATORS CORPORATION

BD
CRD#: 37432
ENGLEWOOD, 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".
FH
FLAGSHIP HARBOR ADVISORS, LLC
3MERITUS WEALTH MANAGEMENT | TRESTLEBRIDGE CAPITAL | TINKHAM WEALTH MANAGEMENT | THRIVE WEALTH STRATEGIES | THORNE FINANCIAL PARTNERS | SHEVLIN WEALTH MANAGEMENT | SHEPARD FINANCIAL | SEASHORE FINANCIAL | SCHRUMM FINANCIAL | RISING TIDE CAPITAL | PARKER WEALTH MANAGEMENT | PARADIGM PRIVATE WEALTH | NORTHERN PEAK WEALTH MANAGEMENT | NORTHERN PEAK FINANCIAL | MUNROE MORROW WEALTH MANAGEMENT | MIRICA WEALTH | MCGUIGAN FINANCIAL | MAITLAND FINANCIAL GROUP | LAURENZ FINANCIAL | KEFAUVER FINANCIAL PLANNING & WEALTH MANAGEMENT | KARRIS & CO. | INTEGRITAS FINANCIAL ADVISORS | GOLDSON FINANCIAL | FLAGSHIP HARBOR ADVISORS, LLC | FIELDSTONE WEALTH MANAGEMENT | FENTON FINANCIAL GROUP | CURRENCY CAMP | CONCIERGE WEALTH MANAGEMENT | CHARTHOUSE CAPITAL | BRANDT WEALTH ADVISORS | BERRY MANAGEMENT, LLC | BERGSTRESSER FINANCIAL | AVERY WEALTH MANAGEMENT | ATLAS PRIVATE WEALTH ADVISORS | ARC FINANCIAL | ANDREASEN FINANCIAL

CRD#: 155733 / SEC#: 801-71997

RIA
Registered Investment Advisory firm - (12/8/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/19/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/9/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/9/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/18/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 10/19/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/16/2000
General Securities Sales Supervisor - Options Module Examination

Current Firm

FH
FLAGSHIP HARBOR ADVISORS, LLC
3MERITUS WEALTH MANAGEMENT | TRESTLEBRIDGE CAPITAL | TINKHAM WEALTH MANAGEMENT | THRIVE WEALTH STRATEGIES | THORNE FINANCIAL PARTNERS | SHEVLIN WEALTH MANAGEMENT | SHEPARD FINANCIAL | SEASHORE FINANCIAL | SCHRUMM FINANCIAL | RISING TIDE CAPITAL | PARKER WEALTH MANAGEMENT | PARADIGM PRIVATE WEALTH | NORTHERN PEAK WEALTH MANAGEMENT | NORTHERN PEAK FINANCIAL | MUNROE MORROW WEALTH MANAGEMENT | MIRICA WEALTH | MCGUIGAN FINANCIAL | MAITLAND FINANCIAL GROUP | LAURENZ FINANCIAL | KEFAUVER FINANCIAL PLANNING & WEALTH MANAGEMENT | KARRIS & CO. | INTEGRITAS FINANCIAL ADVISORS | GOLDSON FINANCIAL | FLAGSHIP HARBOR ADVISORS, LLC | FIELDSTONE WEALTH MANAGEMENT | FENTON FINANCIAL GROUP | CURRENCY CAMP | CONCIERGE WEALTH MANAGEMENT | CHARTHOUSE CAPITAL | BRANDT WEALTH ADVISORS | BERRY MANAGEMENT, LLC | BERGSTRESSER FINANCIAL | AVERY WEALTH MANAGEMENT | ATLAS PRIVATE WEALTH ADVISORS | ARC FINANCIAL | ANDREASEN FINANCIAL

CRD#: 155733 / SEC#: 801-71997

RIA
Registered Investment Advisory firm - (12/8/2010 Approved)
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Contact information

Main Address
346 Commercial Street, Boston, MA 02109
Mailing Address
Phone number
(857) 350-4229
Established
Firm type
Fiscal year end
# of Employees
60

SEC notice filing (37 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

FLAGSHIP HARBOR ADVISORS, LLC DISCLOSURE BROCHURE (1/29/2025)
FLAGSHIP HARBOR ADVISORS, LLC WRAP FEE BROCHURE (1/29/2025)

Regulatory assets under management

Total Number of Accounts13,382
AUM (Assets Under Management)$ 3,008,478,711

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

FLAGSHIP HARBOR ADVISORS, LLC

CRD#: 155733

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