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WB

William L. Berlin

MAINSTAY CAPITAL MANAGEMENT
Grand Blanc, MI 48439
Some features on this profile are disabled
CRD#: 3004601
WB

Professional summary

William Leonard Berlin is a registered financial advisor currently at MAINSTAY CAPITAL MANAGEMENT, LLC located in Grand Blanc, Michigan.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. William has worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.

top-8-questions

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 William Leonard Berlin'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

May 21, 2021 - Present

MAINSTAY CAPITAL MANAGEMENT, LLC

Office #1: 10775 South Saginaw Bldg C, Suite F, Grand Blanc, MI 48439
RIA
CRD#: 109528
Grand Blanc, MI
Past

February 11, 2021 - February 25, 2021

MAINSTAY CAPITAL MANAGEMENT, LLC

RIA
CRD#: 109528
GRAND BLANC, MI
Past

April 1, 2014 - January 11, 2021

TD AMERITRADE, INC.

BD
CRD#: 7870
Grand Rapids, MI
Past

March 11, 2014 - December 31, 2020

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
Grand Blanc, MI
Past

March 11, 2014 - January 11, 2021

TD AMERITRADE, INC.

RIA
CRD#: 7870
Grand Rapids, MI
Past

December 6, 2011 - March 26, 2014

GREYSTONE FINANCIAL GROUP, INC.

RIA
CRD#: 112683
TROY, MI
Past

October 19, 2010 - November 14, 2011

J2 CAPITAL MANAGEMENT, INC.

RIA
CRD#: 152964
TROY, MI
Past

January 4, 2010 - August 31, 2010

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
BIRMINGHAM, MI
Past

April 12, 2006 - August 31, 2010

TD AMERITRADE, INC.

RIA
CRD#: 7870
BIRMINGHAM, MI
Past

April 12, 2006 - August 31, 2010

TD AMERITRADE, INC.

BD
CRD#: 7870
BIRMINGHAM, MI
Past

September 22, 2004 - June 28, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
DETROIT, MI
Past

September 3, 2004 - June 28, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

October 15, 2003 - August 9, 2004

LASALLE FINANCIAL SERVICES, INC.

BD
CRD#: 20373
CHICAGO, IL
Past

February 21, 2003 - October 10, 2003

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

September 26, 2000 - January 31, 2003

HANTZ FINANCIAL SERVICES, INC.

BD
CRD#: 46047
SOUTHFIELD, MI
Past

April 28, 1998 - October 19, 2000

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

April 28, 1998 - October 19, 2000

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, 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".
MC
MAINSTAY CAPITAL MANAGEMENT, LLC
MAINSTAY CAPITAL MANAGEMENT, LLC

CRD#: 109528 / SEC#: 801-58099

RIA
Registered Investment Advisory firm - (11/14/2000 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.

Highlighted states indicate IAR registrations

IAR
Michigan
(5/21/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 5/9/2014
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/21/2004
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/27/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/9/2019
General Securities Principal Examination

Current Firm

MC
MAINSTAY CAPITAL MANAGEMENT, LLC
MAINSTAY CAPITAL MANAGEMENT, LLC

CRD#: 109528 / SEC#: 801-58099

RIA
Registered Investment Advisory firm - (11/14/2000 Approved)
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Contact information

Main Address
10775 South Saginaw Bldg C, Suite F, Grand Blanc, MI 48439
Mailing Address
P.o. Box 487, Grand Blanc, MI 48480
Phone number
(866) 444-6246
Established
Firm type
Fiscal year end
# of Employees
34

SEC notice filing (52 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

PART 2A OF FORM ADV (7/23/2025)

Regulatory assets under management

Total Number of Accounts3,455
AUM (Assets Under Management)$ 4,663,966,411

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/20/2024
Cover Page
Report
10/23/2023
Cover Page
Report
12/14/2022
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.

Company Information

MAINSTAY CAPITAL MANAGEMENT, LLC

CRD#: 109528Grand Blanc, MI 48439

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