MT
Michael V. Trickey
CETERA INVESTMENT ADVISERS LLC
Marquette, MI
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CRD#: 3025989
MT
Professional summary
Michael Vinson Trickey, who also goes by Mike Trickey, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Marquette, Michigan and CETERA WEALTH SERVICES, LLC located in Marquette, Michigan.
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 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Trickey
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 ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 811 PINE STREET; MARQUETTE; MI; 49855; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 4/20/2010; 160; 160; SALES OF FIXED INSURANCE PRODUCTS 2) NAME OF ENTITY: Wednesday River Rock Dbles; No; 811 Pine St; Marquette; MI; 49855; Bowling League; League President; 9/11/2019; 1; 0; Ensure league funds are deposited by the league treasurer and all required reports and records are maintained by the league secretary 3) NAME OF ENTITY: American Legion Department of Michigan; No; 212 N Verlindedn Avenue; Lansing; MI; 48915; American Legion Baseball/Peninsula of Michigan.; Committee Chairman; 9/20/2019; 2; 0; participate in the administration of the program at the state level, which would entail rule making and supervision of the baseball teams.; 4) NAME OF OTHER BUSINESS: MARQUETTE AMERICAN LEGION BASEBALL INVESTMENT RELATED: NO, ADDRESS: 700 E BLUFF ST, MARQUETTE, MI 49855, NATURE OF BUSINESS: SPORTS, START DATE: 10/2023, POSITION/TITLE/RELATIONSHIP: EXECUTIVE TRUSTEE, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: OVERSIGHT OF THE ORGANIZATION TO ENSURE COMPLIANCE WITH ALL APPLICABLE STATE AND FEDERAL REGULATIONS.;
CRS (Client Relationship Summary) - RIA
Click below to view Michael Vinson Trickey's 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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
Marquette, MI
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Marquette, MI
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
September 17, 2010 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
Marquette, MI
Past
May 12, 2010 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
Marquette, MI
Past
March 4, 2008 - January 7, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
GWINN, MI
Past
March 21, 2007 - March 4, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
MARQUETTE, MI
Past
March 18, 1998 - February 1, 2007
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
MARQUETTE, MI
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
Florida(6/10/2021)
RR
Georgia(3/8/2022)
RR
Michigan(6/9/2021)
IAR
Michigan(6/29/2023)
RR
Minnesota(6/9/2021)
RR
North Carolina(6/11/2021)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
RR
Wisconsin(6/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
