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MR

Michael F. Rathnau

Some features on this profile are disabled
CRD#: 4187542
MR

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 Francis Rathnau, who also goes by Michael F Rathnau, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2000. Michael had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael F Rathnau

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.
Wellesley Asset Management, Inc.; Investment Related; Homer Glen, IL; Began 07/23/2018; Other; Sales; Vice President, Institutional Sales; 160 hour per month all during securities; Generate sales via wirehouse and RIA advisors trading hours.

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

February 6, 2019 - November 18, 2024

WELLESLEY ASSET MANAGEMENT, INC.

RIA
CRD#: 116176
HOMER GLEN, IL
Past

August 1, 2018 - November 18, 2024

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

January 16, 2016 - July 12, 2018

PRINCIPAL FUNDS DISTRIBUTOR, INC.

BD
CRD#: 43261
DES MOINES, IA
Past

March 15, 2006 - July 17, 2018

PRINCIPAL ASSET MANAGEMENT

RIA
CRD#: 109002
Homer Glen, IL
Past

December 21, 2005 - April 5, 2016

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
CHICAGO, IL
Past

November 1, 2005 - November 28, 2005

GUGGENHEIM INVESTMENTS

RIA
CRD#: 129288
LISLE, IL
Past

November 1, 2005 - November 28, 2005

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

BD
CRD#: 39805
CHICAGO, IL
Past

June 4, 2004 - November 14, 2005

EVERLAKE DISTRIBUTORS, LLC

BD
CRD#: 100460
NORTHBROOK, IL
Past

July 15, 2003 - March 25, 2004

TCF INVESTMENTS, INC.

BD
CRD#: 34954
MINNEAPOLIS, MN
Past

March 8, 2001 - August 4, 2003

CALAMOS ADVISORS LLC

RIA
CRD#: 105758
NAPERVILLE, IL
Past

September 28, 2000 - July 14, 2003

CALAMOS FINANCIAL SERVICES LLC

BD
CRD#: 19850
NAPERVILLE, IL

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".
WA
WELLESLEY ASSET MANAGEMENT, INC.
WELLESLEY ASSET MANAGEMENT, INC. | WELLESLEY INVESTMENT ADVISORS, INC.

CRD#: 116176 / SEC#: 801-61288

RIA
Registered Investment Advisory firm - (6/27/2002 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
RR
Series 63
Date: 7/29/2003
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/26/2001
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/4/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/27/2000
Investment Company Products/Variable Contracts Representative Examination

Current Firm

WA
WELLESLEY ASSET MANAGEMENT, INC.
WELLESLEY ASSET MANAGEMENT, INC. | WELLESLEY INVESTMENT ADVISORS, INC.

CRD#: 116176 / SEC#: 801-61288

RIA
Registered Investment Advisory firm - (6/27/2002 Approved)
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Contact information

Main Address
100 Market Street Suite 203, Portsmouth, NH 03801
Mailing Address
Phone number
(781) 416-4000
Established
Firm type
Fiscal year end
# of Employees
30

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WAM ADV 2A REFERRED CLIENTS (10/29/2025)
WAM ADV 2A DIRECT CLIENTS (10/29/2025)

Regulatory assets under management

Total Number of Accounts1,478
AUM (Assets Under Management)$ 2,063,684,848

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.

Company Information

WELLESLEY ASSET MANAGEMENT, INC.

CRD#: 116176

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