Michael John Herek
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Mike John Herek
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OSAIC WEALTH, INC.
Videos & Posts
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OSAIC WEALTH, INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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OSAIC WEALTH, INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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OSAIC WEALTH, INC.
Years of Experience
26 years in the financial services industry
Current & Past Employments
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Current Firm
BERSTLER GROUP | BLUE CAPITAL, INC. | BLUE CAPITAL | BK FINANCIAL SERVICES
Contact Information
Main Address
3814 Farnam Street Suite 202, Omaha, NE 68131Phone Number
(402) 932-0131# of Employees
7SEC notice filing (6 States and Territories)
Registered to provide investment advisory services in 6 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,170AUM (Assets Under Management)
$200,818,353Similar Advisors
OSAIC WEALTH, INC.
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.
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OSAIC WEALTH, INC.
Primary Firm SEC Registration
BERSTLER GROUP | BLUE CAPITAL, INC. | BLUE CAPITAL | BK FINANCIAL SERVICES
State Registrations and Notice Filings
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 2000About the Series 6 examSimilar Advisors
OSAIC WEALTH, INC.
CRS (Client Relationship Summary) - RIA
Click below to view Michael John Herek's CRS (Customer Relationship Summary).
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OSAIC WEALTH, INC.
