MM
Michael J. Mungenast
CETERA INVESTMENT ADVISERS LLC
BIRMINGHAM, AL 35223
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CRD#: 3206720
MM
Professional summary
Michael Joseph Mungenast, who also goes by Michael Joseph Mungenast, Mike Mungenast, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Birmingham, Alabama and CETERA WEALTH SERVICES, LLC located in Reform, Alabama.
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 3 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Joseph Mungenast | Mike Mungenast
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.
(dba) ELLA VALLEY WEALTH ADVISORS INC; Investment Related; 22 Inverness Center Parkway Suite 135, Birmingham, AL 35242; Investments and Insurance; Senior Financial Adviser; Start Date 02/2022; 160 hours per month with the majority of hours per month occurring during trading hours; In addition to securities investments, I also provide Life, Disability, Long-Term Care, and Annuity insurance products. >> WEST ALABAMA BANK AND TRUST; Investment Related; 509 1st Avenue North, Reform AL 35481; Investment and Insurance Services; Financial Professional; Start Date 07/2016; 50 hours per month with all of those 50 hours occurring during trading hours; Provide financial planning, securities, fixed annuity and risk management (Life, Disability and Long-Term Care) services and products. >> LIFE, DISABILITY, AND ANNUITY INSURANCE SALES; Investment Related; 22 Inverness Center Parkway Suite 135, Birmingham, AL 35242; Insurance Sales; Financial Professional; Start Date 08/2015; 20 hours per month with all of those 20 hours occurring during trading hours; Sales of Life, Disability and Annuity insurance products to clients. >> JUNIOR ACHIEVEMENT; Non-Investment Related; 216 Aquarius Drive, Suite 315, Birmingham AL 35209; Community Service; Board Member; Start Date 10/2008; 3 hours per month with none of those hours occurring during trading hours; Financial education for K-12 students. >> BRIARWOOD PRESBYTERIAN CHURCH; Non-Investment Related; 2200 Briarwood Way, Birmingham, AL 35243; Religious Service; Elder; Start Date January 2013; 5-10 hours per month with none of those hours occurring during trading hours; shepherding and ministry team commissions.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Joseph Mungenast'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
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3309 Eaton Road, Birmingham, AL 35223Office #2: 509 First Avenue West, Reform, AL 35481Office #3: 305 2nd Street Ne, Fayette, AL 35555RIA
CRD#: 105644
BIRMINGHAM, AL
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 509 First Avenue West, Reform, AL 35481Office #2: 305 2nd Street Ne, Fayette, AL 35555Office #3: 22 Inverness Center Parkway Suite 135, Birmingham, AL 35242BD
CRD#: 13572
Reform, AL
Past
June 8, 2009 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Reform, AL
Past
September 29, 1999 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Reform, AL
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
Alabama(2/20/2025)
IAR
Alabama(2/20/2025)
RR
California(2/20/2025)
RR
Colorado(2/20/2025)
RR
Florida(2/20/2025)
RR
Georgia(2/20/2025)
RR
Kentucky(2/20/2025)
RR
Louisiana(2/20/2025)
RR
Maryland(2/20/2025)
RR
Michigan(2/20/2025)
RR
Mississippi(2/20/2025)
RR
Missouri(2/20/2025)
RR
New Mexico(2/20/2025)
RR
North Carolina(2/20/2025)
RR
Ohio(2/20/2025)
RR
Oklahoma(2/20/2025)
RR
South Carolina(2/20/2025)
RR
Tennessee(2/20/2025)
RR
Texas(2/20/2025)
IAR
Texas(2/26/2025)
RR
Virginia(2/20/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Birmingham, AL 35223TRUST BUT VERIFY
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