Michael J. Follett

IRON GATE GLOBAL ADVISORS

Saratoga Springs, UT

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CRD#: 3178161

Professional summary

Michael John Follett is a registered financial advisor currently at IRON GATE GLOBAL ADVISORS located in Saratoga Springs, Utah.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Michael has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7 and Series 4 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 John Follett'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

September 22, 2025 - Present

IRON GATE GLOBAL ADVISORS

RIA

CRD#: 111177

Saratoga Springs, UT

Past

September 12, 2021 - September 13, 2025

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

October 2, 2017 - December 31, 2023

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

February 11, 2009 - December 31, 2009

THINKORSWIM ADVISORS, INC.

RIA

CRD#: 111046

CHICAGO, IL

Past

August 22, 2002 - September 11, 2003

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

November 1, 2000 - August 16, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

May 3, 1999 - November 1, 2000

MORGAN STANLEY DEAN WITTER ONLINE INC.

CRD#: 34925

SAN FRANCISCO, CA

Past

February 8, 1999 - April 26, 1999

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

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".

IRON GATE GLOBAL ADVISORS

AMUSSEN, HUNSAKER & ASSOCIATES INCORPORATED | IRON GATE GLOBAL ADVISORS, LLC | IRON GATE GLOBAL ADVISORS | AMUSSEN, HUNSAKER & ASSOCIATES, LLC

CRD#: 111177 / SEC#: 801-110310

RIA

Registered Investment Advisory firm - (4/19/2017 Approved)

California

Registered Investment Advisory firm - (6/7/2017 Terminated)

Texas

Registered Investment Advisory firm - (5/8/2017 Terminated)

Utah

Registered Investment Advisory firm - (5/8/2017 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

Utah
(9/22/2025)

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

Series 63

Date: 10/9/2017

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/10/2009

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/2/2018

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/2/2017

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 12/10/2021

Registered Options Principal Examination

Current Firm

IRON GATE GLOBAL ADVISORS

AMUSSEN, HUNSAKER & ASSOCIATES INCORPORATED | IRON GATE GLOBAL ADVISORS, LLC | IRON GATE GLOBAL ADVISORS | AMUSSEN, HUNSAKER & ASSOCIATES, LLC

CRD#: 111177 / SEC#: 801-110310

RIA

Registered Investment Advisory firm - (4/19/2017 Approved)

California

Registered Investment Advisory firm - (6/7/2017 Terminated)

Texas

Registered Investment Advisory firm - (5/8/2017 Terminated)

Utah

Registered Investment Advisory firm - (5/8/2017 Terminated)

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Contact information

Main Address

960 North 400 East, North Salt Lake, UT 84054

Mailing Address

Phone number

(888) 591-0334

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

IRON GATE GLOBAL ADVISORS (5/1/2025)

Regulatory assets under management

Total Number of Accounts	2,925
AUM (Assets Under Management)	$ 1,059,413,573

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/07/2025	Cover Page	Report
09/20/2023	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.

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Michael J. Follett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Follett's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

THINKORSWIM ADVISORS, INC.

WELLS FARGO INVESTMENTS, LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DEAN WITTER ONLINE INC.

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

IRON GATE GLOBAL ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 10/9/2017

Series 65

Date: 2/10/2009

SIE

Date: 10/1/2018

Series 3

Date: 4/2/2018

Series 7

Date: 10/2/2017

Series 4

Date: 12/10/2021

Current Firm

IRON GATE GLOBAL ADVISORS

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

IRON GATE GLOBAL ADVISORS

TRUST BUT VERIFY

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