Michael James Mcwhinnie
CFP®Professional Summary
Michael James Mcwhinnie, CFP® 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 2001. Michael has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Credentials
Years of Experience
25 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
CAPITAL ADVISORY SERVICES, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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
(8/3/2018)
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 10 — General Securities Sales Supervisor - General Module Examination
Passed Aug 2004About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jul 2004About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Michael James Mcwhinnie's CRS (Customer Relationship Summary).
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