Michael A. Alfred

RELATION WEALTH MANAGEMENT

CHARLOTTE, NC 28277

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CRD#: 4558272

Professional summary

Michael Alan Alfred is a registered financial advisor currently at RELATION WEALTH MANAGEMENT, INC. located in Charlotte, North Carolina.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Michael has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 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.

1) Relation Insurance, Inc.; Not investment-related; Denver, NC 28037; Insurance Agent; Insurance sales; Implementation of insurance recommendations; 10% of time during the month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Alan Alfred'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 21, 2025 - Present

RELATION WEALTH MANAGEMENT, INC.

Office #1: 11215 North Community House Road Suite 100, Charlotte, NC 28277

RIA

CRD#: 329961

CHARLOTTE, NC

Past

September 30, 2019 - December 22, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

GASTONIA, NC

Past

September 30, 2019 - December 22, 2022

LPL FINANCIAL LLC

CRD#: 6413

GASTONIA, NC

Past

December 17, 2015 - October 2, 2019

NATIONWIDE SECURITIES, LLC

RIA

CRD#: 11173

KANNAPOLIS, NC

Past

May 14, 2009 - December 11, 2015

NATIONWIDE SECURITIES, LLC

RIA

CRD#: 11173

KANNAPOLIS, NC

Past

January 10, 2008 - August 1, 2008

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

COLUMBUS, OH

Past

January 10, 2008 - October 2, 2019

NATIONWIDE SECURITIES, LLC

CRD#: 11173

KANNAPOLIS, NC

Past

September 5, 2007 - December 31, 2007

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

DUBLIN, OH

Past

March 26, 2003 - April 24, 2006

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

July 16, 2002 - March 10, 2003

UNITED BROKERAGE SERVICES, INC

CRD#: 39062

PARKERSBURG, WV

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".

RELATION WEALTH MANAGEMENT, INC.

CRD#: 329961 / SEC#: 801-129663

RIA

Registered Investment Advisory firm - (6/27/2024 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

North Carolina
(7/21/2025)

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: 8/22/2009

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: 7/15/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/14/2009

General Securities Principal Examination

Current Firm

RELATION WEALTH MANAGEMENT, INC.

CRD#: 329961 / SEC#: 801-129663

RIA

Registered Investment Advisory firm - (6/27/2024 Approved)

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Contact information

Main Address

10425 S 82nd East Ave Suite 110, Tulsa, OK 74133

Mailing Address

Phone number

(918) 999-9138

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RELATION WEALTH MANAGEMENT, INC. DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENT (3/17/2025)

Regulatory assets under management

Total Number of Accounts	276
AUM (Assets Under Management)	$ 417,900,100

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Michael A. Alfred

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Alan Alfred's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NATIONWIDE SECURITIES, LLC

NATIONWIDE SECURITIES, LLC

1717 CAPITAL MANAGEMENT COMPANY

NATIONWIDE SECURITIES, LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

NATIONWIDE INVESTMENT SERVICES CORPORATION

UNITED BROKERAGE SERVICES, INC

Primary Firm SEC Registration

RELATION WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/22/2009

SIE

Date: 10/1/2018

Series 7

Date: 7/15/2002

Series 24

Date: 5/14/2009

Current Firm

RELATION WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RELATION WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

Contact information

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