MW
Michael A. Wertheim
KESTRA ADVISORY SERVICES
Smithtown, NY 11787
Some features on this profile are disabled
CRD#: 3151276
MW
Professional summary
Michael A Wertheim is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Smithtown, New York and KESTRA INVESTMENT SERVICES, LLC located in Smithtown, New York.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Michael has worked at 4 firms and has passed the Series 65, Series 63, SIE 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.
Business Name: Newbrook Insurance Investment Related: Yes Address: 14 Roosevelt Ave Port Jefferson Station NY 11776 Nature of Business: Insurance Position, Title or Relationship: Other,Fixed Insurance Sales Start Date: 7/1/2013 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: I sell life and health insurance through this organizationBusiness Name: Kaplan MGT Investment Related: No Address: 312 Commack Rd Commack NY 11725 Nature of Business: Tax/Accounting Position, Title or Relationship: Employee Start Date: 2/1/2011 Hours per month: 21% - 30% (33 - 48 hours) Hours per month during trading hours: 11% - 20% (15 - 28 hours) Duties: Tax PreperationBusiness Name: Main Street Financial Group Investment Related: Yes Address: 312 Commack Rd Commack NY 11725 Nature of Business: Investment Advisory (RIA, IAR, Financial Planning, etc.) Position, Title or Relationship: Partner Start Date: 1/1/2003 Hours per month: 51% - 60% (81 - 96 hours) Hours per month during trading hours: 21% - 30% (29 - 42 hours) Duties: Proividing Financial Planning AdviceBusiness Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory servicesBusiness Name: Michael A Wertheim Investment Related: Yes Address: 312 Commack Road Commack NY 11725 Nature of Business: Real Estate Position, Title or Relationship: owner Start Date: 1/1/2017 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: I own and run the rental propertyBusiness Name: Aussie Inc Investment Related: No Address: 5 SHetland Lane Saint James NY 11780 Nature of Business: Real Estate Position, Title or Relationship: Owner Start Date: 1/1/2018 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Building upkeep and oversightBusiness Name: National Life Group Investment Related: Yes Address: 51 E Main St Smithtown NY 11787 Nature of Business: Insurance Position, Title or Relationship: Field Rep Start Date: 1/18/2019 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 11% - 20% (15 - 28 hours) Duties: I'm using National Life to explore other fixed life insurance options for my clientsBusiness Name: Penn Mutual Investment Related: No Address: 51 E Main St Smithtown NY 11787 Nature of Business: Insurance Position, Title or Relationship: Sales Rep Start Date: 2/5/2021 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Sell Life Insurance
CRS (Client Relationship Summary) - RIA
Click below to view Michael A Wertheim'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 22, 2021 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 51 E. Main St., Smithtown, NY 11787RIA
CRD#: 283330
Smithtown, NY
Current
October 3, 2007 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 51 E. Main Street, Smithtown, NY 11787BD
CRD#: 42046
Smithtown, NY
Past
December 16, 2003 - October 9, 2007
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
KINGS PARK, NY
Past
January 20, 1999 - December 16, 2003
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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
California(10/11/2007)
RR
Connecticut(10/3/2007)
RR
Delaware(10/8/2007)
RR
District of Columbia(11/20/2020)
RR
Florida(10/3/2007)
RR
Georgia(7/18/2011)
RR
Maine(10/16/2013)
RR
Maryland(2/7/2012)
RR
Massachusetts(4/23/2010)
RR
Michigan(9/22/2020)
RR
New Jersey(10/3/2007)
RR
New York(10/3/2007)
IAR
New York(6/22/2021)
RR
North Carolina(3/23/2009)
RR
Pennsylvania(1/27/2014)
RR
Rhode Island(5/17/2016)
RR
South Carolina(6/15/2016)
RR
Tennessee(2/12/2013)
RR
Texas(11/19/2007)
IAR
Texas(7/27/2023)
RR
Virginia(10/3/2007)
RR
Washington(3/16/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
