Michael Joseph Maisel
Professional Summary
Michael Joseph Maisel, who also goes by Michael J Maisel, is a registered financial advisor currently at LEGACY FINANCIAL ADVISORS, INC. located in Covington, Kentucky. Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Michael has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Estate & Legacy Planning
- Financial Planning
- Risk Management & Insurance
- Retirement Planning
Specializations
Other Aliases
Michael J Maisel
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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CAPITAL ADVISORY SERVICES, LLC
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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Years of Experience
26 years in the financial services industry
Current & Past Employments
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Current Firm
LEGACY FINANCIAL ADVISORS, INC.
Contact Information
Main Address
117 East Fourth Street, Covington, KY 41011Phone Number
(859) 655-5225# of Employees
21SEC notice filing (19 States and Territories)
Registered to provide investment advisory services in 19 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
3,721AUM (Assets Under Management)
$1,515,563,474Similar Advisors
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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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Primary Firm SEC Registration
LEGACY FINANCIAL ADVISORS, INC.
State Registrations and Notice Filings
(9/20/2011)
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.
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CRS (Client Relationship Summary) - RIA
Click below to view Michael Joseph Maisel's CRS (Customer Relationship Summary).
Services Offered by Michael
- Estate & Legacy Planning
- Financial Planning
- Risk Management & Insurance
- Retirement Planning
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CAPITAL ADVISORY SERVICES, LLC
