Michael J. Herek

BLUE CAPITAL

Omaha, NE 68131

Some features on this profile are disabled

CRD#: 4163979

Professional summary

Michael John Herek, who also goes by Mike John Herek, is a registered financial advisor currently at BLUE CAPITAL located in Omaha, Nebraska.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Michael has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike John Herek

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.

INSURANCE/FIXED INSURANCE OMAHA, NE 68131 EFFECTIVE: 06/17/2017 120 HOURS PER MONTH/4 HOURS PER MONTH DURING MARKET HOURS Red Lion Lounge Owner; Not Investment Related Omaha, NE No time spent on activity during each month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Herek'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

November 13, 2019 - Present

BLUE CAPITAL

Office #1: 3814 Farnam Street Suite 202, Omaha, NE 68131

RIA

CRD#: 304083

Omaha, NE

Past

October 12, 2015 - November 12, 2019

CAPITAL SYNERGY PARTNERS

RIA

CRD#: 148733

OMAHA, NE

Past

January 10, 2014 - November 12, 2019

CAPITAL SYNERGY PARTNERS

CRD#: 148733

OMAHA, NE

Past

January 12, 2005 - January 10, 2014

FINANCIAL WEST GROUP

CRD#: 16668

OMAHA, NE

Past

November 6, 2000 - December 2, 2004

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

OMAHA, NE

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".

BLUE CAPITAL

BERSTLER GROUP | BLUE CAPITAL, INC. | BLUE CAPITAL | BK FINANCIAL SERVICES

CRD#: 304083 / SEC#: 801-121357

RIA

Registered Investment Advisory firm - (5/28/2021 Approved)

California

Registered Investment Advisory firm - (7/2/2021 Terminated)

Iowa

Registered Investment Advisory firm - (6/10/2021 Terminated)

Nebraska

Registered Investment Advisory firm - (6/2/2021 Terminated)

Nevada

Registered Investment Advisory firm - (7/14/2021 Terminated)

Texas

Registered Investment Advisory firm - (6/2/2021 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

Nebraska
(11/13/2019)

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 66

Date: 10/9/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/12/2000

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: 6/30/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/3/2000

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BLUE CAPITAL

BERSTLER GROUP | BLUE CAPITAL, INC. | BLUE CAPITAL | BK FINANCIAL SERVICES

CRD#: 304083 / SEC#: 801-121357

RIA

Registered Investment Advisory firm - (5/28/2021 Approved)

California

Registered Investment Advisory firm - (7/2/2021 Terminated)

Iowa

Registered Investment Advisory firm - (6/10/2021 Terminated)

Nebraska

Registered Investment Advisory firm - (6/2/2021 Terminated)

Nevada

Registered Investment Advisory firm - (7/14/2021 Terminated)

Texas

Registered Investment Advisory firm - (6/2/2021 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

3814 Farnam Street Suite 202, Omaha, NE 68131

Mailing Address

Phone number

(402) 932-0131

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BCI ADV 2A BROCHURE (3/25/2025)

Regulatory assets under management

Total Number of Accounts	1,201
AUM (Assets Under Management)	$ 208,782,235

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.

Similar Advisors

Byron Smith

OSAIC WEALTH, INC.

IAR

OMAHA, NE

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael J. Herek

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CAPITAL SYNERGY PARTNERS

CAPITAL SYNERGY PARTNERS

FINANCIAL WEST GROUP

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Primary Firm SEC Registration

BLUE CAPITAL

State Registrations and Notice Filings

Exams

Series 66

Date: 10/9/2015

Series 63

Date: 10/12/2000

SIE

Date: 10/1/2018

Series 7

Date: 6/30/2008

Series 6

Date: 11/3/2000

Current Firm

BLUE CAPITAL

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BLUE CAPITAL

TRUST BUT VERIFY

Similar Advisors