Michael J. Fulkerson

CHICAGO INVESTMENT ADVISORY COUNCIL

St. Charles, IL 60174

CRD#: 4553229

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Professional summary

Michael John Fulkerson, who also goes by Mike Fulkerson, is a registered financial advisor currently at CHICAGO INVESTMENT ADVISORY COUNCIL, INC. located in St. Charles, Illinois and J.W. COLE FINANCIAL, INC. located in St. Charles, Illinois.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Michael has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Fulkerson

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Fulkerson'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®

None

Experience

Current

July 20, 2011 - Present

CHICAGO INVESTMENT ADVISORY COUNCIL, INC.

Office #1: 1601 E. Main Street Suite 1c, St. Charles, IL 60174

RIA

CRD#: 123243

St. Charles, IL

Current

July 1, 2011 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 1601 E Main Street Ste 1c, St. Charles, IL 60174

CRD#: 124583

St. Charles, IL

Past

July 26, 2004 - July 15, 2011

WADDELL & REED

RIA

CRD#: 866

SCHAUMBURG, IL

Past

July 26, 2004 - July 15, 2011

WADDELL & REED

CRD#: 866

SCHAUMBURG, IL

Past

July 26, 2002 - July 22, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

DENVER, CO

Past

July 22, 2002 - July 22, 2004

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 22, 2002 - July 22, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

CHICAGO INVESTMENT ADVISORY COUNCIL, INC.

CRD#: 123243 / SEC#: 801-120969

RIA

Registered Investment Advisory firm - (4/26/2021 Approved)

Illinois

Registered Investment Advisory firm - (6/21/2021 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(6/3/2013)

Florida
(1/3/2022)

Illinois
(7/1/2011)

IAR

Illinois
(7/20/2011)

Kentucky
(1/2/2019)

Texas
(5/12/2014)

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

IAR

Series 66

Date: 7/25/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/2002

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CHICAGO INVESTMENT ADVISORY COUNCIL, INC.

CRD#: 123243 / SEC#: 801-120969

RIA

Registered Investment Advisory firm - (4/26/2021 Approved)

Illinois

Registered Investment Advisory firm - (6/21/2021 Terminated)

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Contact information

Main Address

1601 E. Main Street Suite 1c, St. Charles, IL 60174

Mailing Address

Phone number

(630) 444-1410

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (4/1/2025)

CIAC SEC FIRM BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts	1,600
AUM (Assets Under Management)	$ 190,000,000

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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Michael J. Fulkerson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Fulkerson's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

WADDELL & REED

WADDELL & REED

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CHICAGO INVESTMENT ADVISORY COUNCIL, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/25/2002

SIE

Date: 10/1/2018

Series 7

Date: 7/19/2002

FINRA

Current Firm

CHICAGO INVESTMENT ADVISORY COUNCIL, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CHICAGO INVESTMENT ADVISORY COUNCIL, INC.

TRUST BUT VERIFY

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