Michael D. Taxman

MICHAEL D. TAXMAN INVESTMENT MANAGEMENT

HANOVER, NH 03755

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CRD#: 3130965

Professional summary

Michael David Taxman is a registered financial advisor currently at MICHAEL D. TAXMAN INVESTMENT MANAGEMENT located in Hanover, New Hampshire.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Michael has worked at 5 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.

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 Michael David Taxman'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 9, 2002 - Present

MICHAEL D. TAXMAN INVESTMENT MANAGEMENT

Office #1: 35 South Main Street, Hanover, NH 03755

RIA

CRD#: 126670

HANOVER, NH

Past

January 2, 2001 - June 30, 2003

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

Past

October 9, 2000 - October 24, 2003

FIRST FINANCIAL RESOURCES

RIA

CRD#: 108374

NAPLES, FL

Past

July 10, 2000 - January 9, 2001

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

December 3, 1998 - June 12, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

MICHAEL D. TAXMAN INVESTMENT MANAGEMENT

MICHAEL D. TAXMAN INVESTMENT MANAGEMENT | MICHAEL D. TAXMAN INVESTMENT MANAGEMENT,LLC

CRD#: 126670 / SEC#: 801-130853

RIA

Registered Investment Advisory firm - (8/6/2024 Approved)

Florida

Registered Investment Advisory firm - (8/7/2024 Terminated)

New Hampshire

Registered Investment Advisory firm - (8/7/2024 Terminated)

Vermont

Registered Investment Advisory firm - (8/13/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

New Hampshire
(6/11/2003)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/21/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/1/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 12/10/1998

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/23/1998

General Securities Representative Examination

Current Firm

MICHAEL D. TAXMAN INVESTMENT MANAGEMENT

MICHAEL D. TAXMAN INVESTMENT MANAGEMENT | MICHAEL D. TAXMAN INVESTMENT MANAGEMENT,LLC

CRD#: 126670 / SEC#: 801-130853

RIA

Registered Investment Advisory firm - (8/6/2024 Approved)

Florida

Registered Investment Advisory firm - (8/7/2024 Terminated)

New Hampshire

Registered Investment Advisory firm - (8/7/2024 Terminated)

Vermont

Registered Investment Advisory firm - (8/13/2024 Terminated)

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Contact information

Main Address

35 South Main Street, Hanover, NH 03755

Mailing Address

Phone number

(603) 643-1415

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - DISCLOSURE BROCHURE (1/23/2025)

Regulatory assets under management

Total Number of Accounts	70
AUM (Assets Under Management)	$ 116,562,289

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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Firm Stability Insights

Michael D. Taxman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael David Taxman's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

FIRST FINANCIAL RESOURCES

SECURITIES AMERICA, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

MICHAEL D. TAXMAN INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 11/21/2003

Series 63

Date: 12/1/1998

Series 31

Date: 12/10/1998

Series 7

Date: 11/23/1998

Current Firm

MICHAEL D. TAXMAN INVESTMENT MANAGEMENT

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MICHAEL D. TAXMAN INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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