Michael R. Tosaw

RCM WEALTH ADVISORS

Chicago, IL 60606

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CRD#: 4648927

Professional summary

Michael R Tosaw, who also goes by Mike Tosaw, is a registered financial advisor currently at RCM WEALTH ADVISORS located in Chicago, Illinois.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Michael has worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 6 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Tosaw

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.

INSURANCE; LIFE, DISABILITY, HEALTH, AND LTC MORTGAGE SALES; DOCUMENT PREPARATION FEES; MIDWEST LIFE INSURANCE BROKERAGE - SALES, 1-2 HR PER MONTH DURING TRADING HOURS. AUTHOR - WRITING A BOOK FOR W-APUBLISHING.COM KNOW YOUR OPRIONS - RIA - 40-60 HRS PER MONTH. SPENDS ABOUT 2 HOURS A WEEK IN EVENINGS TEACHING FOOTBALL CLASSES TO HIGH SCHOOL KIDS FOR DON BEEBE'S HOUSE OF SPEED. THIS IS TYPICALLY ONLY DONE FOR 12 WEEKS A YEAR.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael R Tosaw'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

May 13, 2010 - Present

RCM WEALTH ADVISORS

Office #1: 318 W Adams St 10th Floor, Chicago, IL 60606

RIA

CRD#: 153641

Chicago, IL

Past

September 24, 2010 - December 2, 2011

OPTIONSXPRESS, INC.

CRD#: 103849

CHICAGO, IL

Past

July 14, 2009 - May 18, 2010

BROKERSXPRESS LLC

RIA

CRD#: 127081

CHICAGO, IL

Past

July 8, 2009 - December 2, 2011

BROKERSXPRESS LLC

CRD#: 127081

CHICAGO, IL

Past

May 3, 2005 - July 8, 2009

OPTIONSXPRESS, INC.

CRD#: 103849

CHICAGO, IL

Past

July 28, 2004 - April 21, 2005

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

EAST DUNDEE, IL

Past

July 9, 2004 - April 21, 2005

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

October 20, 2003 - June 14, 2004

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

DOWNERS GROVE, IL

Past

April 21, 2003 - June 14, 2004

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

April 21, 2003 - June 14, 2004

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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".

RCM WEALTH ADVISORS

CRD#: 153641 / SEC#: 801-92177

RIA

Registered Investment Advisory firm - (4/20/2015 Approved)

California

Registered Investment Advisory firm - (5/22/2015 Terminated)

Illinois

Registered Investment Advisory firm - (4/22/2015 Terminated)

Indiana

Registered Investment Advisory firm - (4/22/2015 Terminated)

New York

Registered Investment Advisory firm - (4/22/2015 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.

Highlighted states indicate IAR registrations

IAR

Illinois
(5/13/2010)

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 65

Date: 7/16/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/9/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 8/17/2005

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/23/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/18/2003

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 4

Date: 6/22/2005

Registered Options Principal Examination

Current Firm

RCM WEALTH ADVISORS

CRD#: 153641 / SEC#: 801-92177

RIA

Registered Investment Advisory firm - (4/20/2015 Approved)

California

Registered Investment Advisory firm - (5/22/2015 Terminated)

Illinois

Registered Investment Advisory firm - (4/22/2015 Terminated)

Indiana

Registered Investment Advisory firm - (4/22/2015 Terminated)

New York

Registered Investment Advisory firm - (4/22/2015 Terminated)

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Contact information

Main Address

318 W Adams St 10th Floor, Chicago, IL 60606

Mailing Address

Phone number

(866) 903-1822

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KNOW YOUR OPTIONS INC FIRM DISCLOSURE BROCHURE (3/24/2025)

Regulatory assets under management

Total Number of Accounts	941
AUM (Assets Under Management)	$ 324,000,000

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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Advisor Monitoring

Firm Stability Insights

Michael R. Tosaw

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael R Tosaw's CRS (Customer Relationship Summary).

Certified licenses

Experience

OPTIONSXPRESS, INC.

BROKERSXPRESS LLC

BROKERSXPRESS LLC

OPTIONSXPRESS, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

RCM WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 7/16/2009

Series 63

Date: 5/9/2003

Series 3

Date: 8/17/2005

Series 7

Date: 6/23/2003

Series 6

Date: 4/18/2003

Series 4

Date: 6/22/2005

Current Firm

RCM WEALTH ADVISORS

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RCM WEALTH ADVISORS

TRUST BUT VERIFY

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