MF
Michael C. Finley
SVB WEALTH
PALM BEACH GARDENS, FL 33408
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CRD#: 4531876
MF
Professional summary
Michael C Finley is a registered financial advisor currently at SVB WEALTH located in Palm Beach Gardens, Florida and FIRST CITIZENS INVESTOR SERVICES, INC. located in Palm Beach Gardens , Florida.
Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Michael has worked at 4 firms and has passed the Series 65, SIE and Series 6 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.
FCIS; 8540 Colonnade Center Drive, Raleigh, NC 27615; FCIS is an affiliated Firm; role is Affluent Wealth Advisor; 80 hours/week.
CRS (Client Relationship Summary) - RIA
Click below to view Michael C Finley's 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®
NoneExperience
Current
May 16, 2016 - Present
SVB WEALTH
Office #1: 11770 Us Highway 1 Suite E401, Palm Beach Gardens, FL 33408RIA
CRD#: 172832
PALM BEACH GARDENS, FL
Current
October 30, 2025 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 11770 U.s Highway One Suite E401, Palm Beach Gardens , FL 33408RIA
BD
CRD#: 44430
Palm Beach Gardens , FL
Past
May 5, 2006 - August 31, 2007
GWN SECURITIES INC.
BD
CRD#: 128929
WEST PALM BEACH, FL
Past
December 16, 2002 - March 3, 2006
SLAVIC INVESTMENT CORPORATION
BD
CRD#: 22885
BOCA RATON, FL
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".
SW
SVB WEALTH
BANYAN PARTNERS | SVB WEALTH LLC | SVB WEALTH | SVB PRIVATE | KLS, A DIVISION OF SVB WEALTH LLC | KLS, A DIVISION OF BOSTON PRIVATE | BP WEALTH MANAGEMENT, LLC | BP WEALTH MANAGEMENT | BOSTON PRIVATE, AN SVB COMPANY | BOSTON PRIVATE WEALTH MANAGEMENT | BOSTON PRIVATE WEALTH LLC | BOSTON PRIVATE WEALTH | BOSTON PRIVATE
CRD#: 172832 / SEC#: 801-80480
RIA
Registered Investment Advisory firm - (10/2/2014 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.Highlighted states indicate IAR registrations
IAR
Alabama(5/22/2024)
IAR
California(5/22/2024)
IAR
Colorado(5/22/2024)
IAR
Connecticut(5/22/2024)
IAR
Florida(5/16/2016)
IAR
Georgia(6/24/2024)
IAR
Illinois(5/24/2024)
IAR
Indiana(7/29/2024)
IAR
Iowa(5/24/2024)
IAR
Massachusetts(6/25/2024)
IAR
Michigan(5/24/2024)
IAR
New Jersey(6/24/2024)
IAR
New York(5/22/2024)
IAR
Oregon(5/28/2024)
IAR
Pennsylvania(5/23/2024)
IAR
Texas(5/23/2024)
IAR
Wisconsin(5/23/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SW
SVB WEALTH
BANYAN PARTNERS | SVB WEALTH LLC | SVB WEALTH | SVB PRIVATE | KLS, A DIVISION OF SVB WEALTH LLC | KLS, A DIVISION OF BOSTON PRIVATE | BP WEALTH MANAGEMENT, LLC | BP WEALTH MANAGEMENT | BOSTON PRIVATE, AN SVB COMPANY | BOSTON PRIVATE WEALTH MANAGEMENT | BOSTON PRIVATE WEALTH LLC | BOSTON PRIVATE WEALTH | BOSTON PRIVATE
CRD#: 172832 / SEC#: 801-80480
RIA
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Contact information
Main Address
53 State Street 28th Floor, Boston, MA 02109
Mailing Address
Po Box 27131, Raleigh, NC 27611
Phone number
(617) 223-0200
Established
Firm type
Fiscal year end
# of Employees
85
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,739 |
| AUM (Assets Under Management) | $ 4,983,411,995 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/21/2025 | ||
| 09/20/2024 | ||
| 10/31/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
