Adam James Finch, CFP | Financial Professional | Ann Arbor, Michigan

Professional summary

Adam James Finch, CFP® is a registered financial advisor currently at CWM, LLC located in Ann Arbor, Michigan and CETERA WEALTH SERVICES, LLC located in Ann Arbor, Michigan.

Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Adam has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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. NAME OF OTHER BUSINESS: CWM, LLC DBA CARSON PARTNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM THAT PROVIDES PORTFOLIO MANAGEMENT, FINANCIAL PLANNING, ESTATE PLANNING AND ADDITIONAL ADVISORY SERVICES POSITION/TITLE/RELATIONSHIP: WEALTH ADVISOR START DATE: 1/2021 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 30 BRIEF DESCRIPTION OF DUTIES: WILL BE PROVIDING ADVISORY SERVICES TO CLIENTS THROUGH CARSON; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE POSITION/TITLE/RELATIONSHIP: CO-OWNER AND FINANCIAL PLANNER START DATE: 10/22/2003 APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 5 BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES, AND LONG-TERM CARE; 3. NAME OF OTHER BUSINESS: RFC HOLDINGS, LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED ADDRESS NATURE OF BUSINESS: HOLDING COMPANY FOR COMMERCIAL REAL ESTATE (OUR BUILDING THAT WE'RE LOCATED IN) START DATE: 8/2016 POSITION/TITLE/RELATIONSHIP: CO-OWNER APX NUMBER OF HOURS PER WEEK: 3 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: CO-OWNER; 4. NAME OF OTHER BUSINESS: FINANCIAL PLANNING ASSOCIATION OF MICHIGAN, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: NON-PROFIT, START DATE: 01/2025, POSITION/TITLE/RELATIONSHIP: BOARD MEMBER, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: NON-FIDUCIARY BOARD MEMBER; 5. NAME OF OTHER BUSINESS: TWO BIRD WEALTH STRATEGIES, INC.; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 03/2025; POSITION/TITLE/RELATIONSHIP: FOUNDER/FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 30; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam James Finch'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®

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

August 23, 2021 - Present

CWM, LLC

Office #1: 5263 Plymouth Rd, Ann Arbor, MI 48105

RIA

CRD#: 155344

Ann Arbor, MI

Current

August 23, 2021 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 5263 Plymouth Rd, Ann Arbor, MI 48105

BD

CRD#: 13572

Ann Arbor, MI

Past

September 15, 2021 - September 23, 2021

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

ANN ARBOR, MI

Past

June 6, 2002 - August 24, 2021

SPC

RIA

CRD#: 110692

Ann Arbor, MI

Past

June 5, 2002 - August 24, 2021

SIGMA FINANCIAL CORPORATION

BD

CRD#: 14303

Ann Arbor, MI

Past

December 12, 2000 - June 4, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD

CRD#: 7691

NEW YORK, NY

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".

CL

CWM, LLC

CRD#: 155344 / SEC#: 801-72037

RIA

Registered Investment Advisory firm - (1/3/2011 Approved)

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.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR

Alabama
(7/29/2024)

IAR

Arizona
(9/8/2021)

RR

Arizona
(2/5/2024)

IAR

Florida
(8/30/2021)

RR

Florida
(8/2/2024)

IAR

Georgia
(8/24/2021)

RR

Kansas
(8/29/2024)

IAR

Kentucky
(8/23/2021)

IAR

Louisiana
(8/23/2021)

IAR

Massachusetts
(8/31/2021)

RR

Massachusetts
(8/22/2024)

RR

Michigan
(8/23/2021)

IAR

Michigan
(8/23/2021)

RR

Mississippi
(12/13/2024)

RR

Missouri
(3/19/2025)

IAR

New Jersey
(8/24/2021)

IAR

Ohio
(8/23/2021)

RR

Ohio
(7/29/2024)

RR

Pennsylvania
(8/22/2024)

RR

Tennessee
(11/26/2024)

IAR

Texas
(8/23/2021)

RR

Texas
(2/29/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

RR

IAR

Series 66

Date: 1/10/2001

Uniform Combined State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 12/11/2000

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 5/8/2003

General Securities Principal Examination

SRO Registrations

RR

FINRA

Current Firm

CL

CWM, LLC

CRD#: 155344 / SEC#: 801-72037

RIA

Registered Investment Advisory firm - (1/3/2011 Approved)

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Contact information

Main Address

14600 Branch St., Omaha, NE 68154

Mailing Address

Phone number

(402) 330-0808

Established

Firm type

Fiscal year end

# of Employees

1,314

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CWM, LLC ADV PART 2A (7/9/2025)

CWM, LLC APPENDIX WRAP PROGRAM (5/8/2025)

Regulatory assets under management

Total Number of Accounts	124,944
AUM (Assets Under Management)	$ 33,775,526,748

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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Advisor Monitoring

Firm Stability Insights

Adam J. Finch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam James Finch's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SPC

SIGMA FINANCIAL CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CWM, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/10/2001

SIE

Date: 10/1/2018

Series 7

Date: 12/11/2000

Series 24

Date: 5/8/2003

FINRA

Current Firm

CWM, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CWM, LLC

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