Michael F. Brody
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Franklin Brody, AIF®, who also goes by Michael F Brody, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2005. Michael had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2022 - August 3, 2023
THE ADVISORY GROUP OF SAN FRANCISCO, LLC
July 22, 2015 - February 16, 2022
STANCORP INVESTMENT ADVISERS, INC.
June 12, 2015 - February 16, 2022
STANCORP EQUITIES, INC.
September 29, 2009 - June 1, 2015
MSI FINANCIAL SERVICES, INC.
November 24, 2008 - January 29, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 15, 2005 - June 18, 2008
CHASE INVESTMENT SERVICES CORP.
Primary Firm SEC Registration
THE ADVISORY GROUP OF SAN FRANCISCO, LLC
CRD#: 108110 / SEC#: 801-56848
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THE ADVISORY GROUP OF SAN FRANCISCO, LLC
CRD#: 108110 / SEC#: 801-56848
Contact information
SEC notice filing (13 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 50 |
| AUM (Assets Under Management) | $ 825,288,953 |
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.
