Michael S. Radoff

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CRD#: 3254786

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 Stephen Radoff, who also goes by Mickey Radoff, Mike Radoff, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1999. Michael had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mickey Radoff | Mike Radoff

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)

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®

None

Experience

Past

January 22, 2020 - November 20, 2024

LGT FINANCIAL ADVISORS LLC

RIA

CRD#: 111575

DALLAS, TX

Past

November 30, 2012 - December 13, 2019

INVESTMENT SECURITY CORPORATION

CRD#: 47536

DALLAS, TX

Past

June 12, 2009 - December 6, 2012

GIRARD SECURITIES, INC.

CRD#: 18697

DALLAS, TX

Past

February 18, 2009 - June 19, 2009

OSAIC WEALTH, INC.

RIA

CRD#: 23131

DALLAS, TX

Past

May 8, 2007 - December 31, 2019

LGT FINANCIAL ADVISORS LLC

RIA

CRD#: 111575

DALLAS, TX

Past

January 2, 2004 - June 19, 2009

OSAIC WEALTH, INC.

CRD#: 23131

DALLAS, TX

Past

October 31, 2002 - December 31, 2003

LONDON PACIFIC SECURITIES, INC.

CRD#: 25089

SACRAMENTO, CA

Past

March 1, 2001 - October 31, 2002

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

August 18, 1999 - March 20, 2001

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

DALLAS, TX

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".

LGT FINANCIAL ADVISORS LLC

LGT FINANCIAL ADVISORS LLC | LGT FINANCIAL ADVISORS, LLC

CRD#: 111575 / SEC#: 801-77833

RIA

Registered Investment Advisory firm - (4/4/2013 Approved)

Illinois

Registered Investment Advisory firm - (4/4/2013 Terminated)

Texas

Registered Investment Advisory firm - (4/4/2013 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.

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 65

Date: 1/4/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/17/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/11/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/17/1999

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 5/14/2007

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/22/2005

General Securities Principal Examination

Current Firm

LGT FINANCIAL ADVISORS LLC

LGT FINANCIAL ADVISORS LLC | LGT FINANCIAL ADVISORS, LLC

CRD#: 111575 / SEC#: 801-77833

RIA

Registered Investment Advisory firm - (4/4/2013 Approved)

Illinois

Registered Investment Advisory firm - (4/4/2013 Terminated)

Texas

Registered Investment Advisory firm - (4/4/2013 Terminated)

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Contact information

Main Address

2626 Howell St Suite 700, Dallas, TX 75204

Mailing Address

Phone number

(214) 871-7500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LGT FA PART 2A BROCHURE (7/18/2025)

Regulatory assets under management

Total Number of Accounts	404
AUM (Assets Under Management)	$ 359,307,704

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/24/2024	Cover Page	Report
02/01/2023	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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Firm Stability Insights

Michael S. Radoff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INVESTMENT SECURITY CORPORATION

GIRARD SECURITIES, INC.

OSAIC WEALTH, INC.

LGT FINANCIAL ADVISORS LLC

OSAIC WEALTH, INC.

LONDON PACIFIC SECURITIES, INC.

NATIONAL PLANNING CORPORATION

1ST GLOBAL CAPITAL CORP.

Primary Firm SEC Registration

LGT FINANCIAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/4/2005

Series 63

Date: 8/17/1999

SIE

Date: 10/1/2018

Series 7

Date: 1/11/2005

Series 6

Date: 8/17/1999

Series 53

Date: 5/14/2007

Series 24

Date: 9/22/2005

Current Firm

LGT FINANCIAL ADVISORS LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

LGT FINANCIAL ADVISORS LLC

TRUST BUT VERIFY

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