Michael A. Dardis

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CRD#: 4283030

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 Anthony Dardis, who also goes by Mike Dardis, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2000. Michael had worked at 5 firms and has passed the Series 66, Series 52TO, SIE, Series 14, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mike Dardis

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.

01/2024-Present; Patten Training & Review; 8111 Ashlane Way, Spring, TX 77382; Consultant, 10 hrs/mo. 01/2024-Present; Keystone Global (CRD#159341); 390 North Broadway, 3rd Floor, Jericho, NY 11753; Outsourced CCO, 40 hrs/mo.

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

June 7, 2024 - January 24, 2025

TURNER FINANCIAL GROUP, INC.

RIA

CRD#: 134204

Kansas City, KS

Past

January 12, 2024 - January 17, 2025

KEYSTONE GLOBAL

CRD#: 159341

JERICHO, NY

Past

December 9, 2009 - April 26, 2022

COMMERCE BROKERAGE SERVICES, INC.

RIA

CRD#: 17140

KANSAS CITY, MO

Past

March 25, 2003 - April 26, 2022

COMMERCE BROKERAGE SERVICES, INC.

CRD#: 17140

KANSAS CITY, MO

Past

May 5, 2001 - September 18, 2002

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

October 18, 2000 - May 2, 2001

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

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".

TURNER FINANCIAL GROUP, INC.

ANDALUS CAPITAL, LLC. | TURNER FINANCIAL GROUP, INC. | SEELAN WEALTH STRATEGIES | GF THOMAS ADVISORY GROUP | DEDICATED FINANCIAL LLC

CRD#: 134204 / SEC#: 801-129021

RIA

Registered Investment Advisory firm - (11/3/2023 Approved)

Alabama

Registered Investment Advisory firm - (11/17/2023 Terminated)

Florida

Registered Investment Advisory firm - (11/17/2023 Terminated)

Louisiana

Registered Investment Advisory firm - (11/20/2023 Terminated)

Maryland

Registered Investment Advisory firm - (12/31/2017 Terminated)

New York

Registered Investment Advisory firm - (11/17/2023 Terminated)

Texas

Registered Investment Advisory firm - (11/17/2023 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 7/11/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/12/2024

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 53

Date: 7/14/2005

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/16/2003

General Securities Principal Examination

Current Firm

TURNER FINANCIAL GROUP, INC.

ANDALUS CAPITAL, LLC. | TURNER FINANCIAL GROUP, INC. | SEELAN WEALTH STRATEGIES | GF THOMAS ADVISORY GROUP | DEDICATED FINANCIAL LLC

CRD#: 134204 / SEC#: 801-129021

RIA

Registered Investment Advisory firm - (11/3/2023 Approved)

Alabama

Registered Investment Advisory firm - (11/17/2023 Terminated)

Florida

Registered Investment Advisory firm - (11/17/2023 Terminated)

Louisiana

Registered Investment Advisory firm - (11/20/2023 Terminated)

Maryland

Registered Investment Advisory firm - (12/31/2017 Terminated)

New York

Registered Investment Advisory firm - (11/17/2023 Terminated)

Texas

Registered Investment Advisory firm - (11/17/2023 Terminated)

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Contact information

Main Address

4366 5th Avenue, Pace, FL 32571-1810

Mailing Address

Phone number

(850) 995-1797

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TFG ADV PART 2A_03.2025 UPDATE FINAL.PDF (3/31/2025)

Regulatory assets under management

Total Number of Accounts	985
AUM (Assets Under Management)	$ 171,026,487

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

Michael A. Dardis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KEYSTONE GLOBAL

COMMERCE BROKERAGE SERVICES, INC.

COMMERCE BROKERAGE SERVICES, INC.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO SECURITIES INC.

Primary Firm SEC Registration

TURNER FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/11/2003

Series 52TO

Date: 1/12/2024

SIE

Date: 10/1/2018

Series 14

Date: 1/2/2023

Series 53

Date: 7/14/2005

Series 24

Date: 5/16/2003

Current Firm

TURNER FINANCIAL GROUP, INC.

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TURNER FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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