MM
Michael K. Mccormick
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CRD#: 3253257
MM
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 Kendall Mccormick, who also goes by Mike Mccormick, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1999. Michael had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mike Mccormick
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.
(1) 11/05/2013 - HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS/ DBA ONLY/ 10%/ KANAB, UT
(2) 12/23/2013 - HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS - REGISTERED INVESTMENT ADVISOR - HOUSEHOLDER FINANCIAL ADVISORS LLC - (HYBRID) IAR - 10% OF TIME SPENT - KANAB, UT
(3) 5/15/2018 - Householder Group Estate & Retirement Specialists - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date:11/01/2013 - Time Spent: 1% - I provide investment advisory services through Householder Group Estate & Retirement Specialists, an independent investment advisor firm. I started this business activity in 11/2013. I expect to spend approximately 2 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
May 21, 2020 - December 23, 2024
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
RIA
CRD#: 169045
Mesquite, NV
Past
November 14, 2013 - December 13, 2019
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
RIA
CRD#: 169045
Mesquite, NV
Past
November 5, 2013 - December 20, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
MESQUITE, NV
Past
July 30, 2009 - November 13, 2013
HOUSEHOLDER GROUP FINANCIAL ADVISORS, LLC
RIA
CRD#: 149564
KANAB, UT
Past
July 27, 2009 - November 6, 2013
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
KANAB, UT
Past
October 31, 2005 - July 29, 2009
OSAIC SERVICES, INC.
BD
CRD#: 133763
FULLERTON, CA
Past
April 28, 2004 - July 29, 2009
HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS
RIA
CRD#: 107773
LONG BEACH, CA
Past
August 7, 2002 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
September 9, 1999 - August 5, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
LONG BEACH, CA
Past
August 23, 1999 - August 5, 2002
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 23, 1999 - August 5, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
HG
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
AMERICAN FINANCIAL SERVICES | TAX AND INVESTMENT ADVOCATES | STREFF FINANCIAL GROUP | RUSSO FINANCIAL MANAGEMENT | RIDLEY WEALTH STRATEGIES | NICKELS WEALTH MANAGEMENT | MONEY AND MINDFULNESS | MASSEY FINANCIAL SERVICES, LLC DBA MASSEY FINANCIAL SERVICES | LUNCEFORD PRIVATE WEALTH MANAGEMENT | L.H. NICKELS WEALTH MANAGEMENT | KIDWELL & COMPANY, INC | KAVE FAMILY FINANCIAL | KAVE FAMILY INSURANCE | IRA SPECIALISTS | HOUSEHOLDER GROUP OF TEXAS | HOUSEHOLDER GROUP OF ORANGE COUNTY | HOUSEHOLDER GROUP OF NEW MEXICO | HOUSEHOLDER GROUP OF DENVER | HOUSEHOLDER GROUP OF COLORADO SPRINGS | HOUSEHOLDER GROUP FINANCIAL ADVISORS | HOUSEHOLDER GROUP ESTATE AND RETIREMENT SPECIALIST, LLC | HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS | HOUSEHOLDER GROUP DFW | HOUSEHOLDER GROUP COACHELLA VALLEY | HOUSEHOLDER GROUP ANTELOPE VALLEY | HOUSEHOLDER FINANCIAL ADVISORS LLC | HILL FINANCIAL PLANNING | HERITAGE WEALTH MANAGEMENT | CICHON FINANCIAL SERVICES
CRD#: 169045 / SEC#: 801-78565
RIA
Registered Investment Advisory firm - (9/20/2013 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
HG
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
AMERICAN FINANCIAL SERVICES | TAX AND INVESTMENT ADVOCATES | STREFF FINANCIAL GROUP | RUSSO FINANCIAL MANAGEMENT | RIDLEY WEALTH STRATEGIES | NICKELS WEALTH MANAGEMENT | MONEY AND MINDFULNESS | MASSEY FINANCIAL SERVICES, LLC DBA MASSEY FINANCIAL SERVICES | LUNCEFORD PRIVATE WEALTH MANAGEMENT | L.H. NICKELS WEALTH MANAGEMENT | KIDWELL & COMPANY, INC | KAVE FAMILY FINANCIAL | KAVE FAMILY INSURANCE | IRA SPECIALISTS | HOUSEHOLDER GROUP OF TEXAS | HOUSEHOLDER GROUP OF ORANGE COUNTY | HOUSEHOLDER GROUP OF NEW MEXICO | HOUSEHOLDER GROUP OF DENVER | HOUSEHOLDER GROUP OF COLORADO SPRINGS | HOUSEHOLDER GROUP FINANCIAL ADVISORS | HOUSEHOLDER GROUP ESTATE AND RETIREMENT SPECIALIST, LLC | HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS | HOUSEHOLDER GROUP DFW | HOUSEHOLDER GROUP COACHELLA VALLEY | HOUSEHOLDER GROUP ANTELOPE VALLEY | HOUSEHOLDER FINANCIAL ADVISORS LLC | HILL FINANCIAL PLANNING | HERITAGE WEALTH MANAGEMENT | CICHON FINANCIAL SERVICES
CRD#: 169045 / SEC#: 801-78565
RIA
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Contact information
Main Address
8985 E. Bell Road, Scottsdale, AZ 85260
Mailing Address
Phone number
(602) 604-0600
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,804 |
| AUM (Assets Under Management) | $ 277,447,180 |
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.
