Michael W. Bain

MBIA CAPITAL ADVISORS

Cincinnati, OH 45215

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CRD#: 4676534

Professional summary

Michael Winston Bain JR., CFP® is a registered financial advisor currently at MBIA CAPITAL ADVISORS located in Cincinnati, Ohio.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Michael has worked at 8 firms and has passed the Series 63, Series 7 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.

TAX AND WEALTH PLANNING STRATEGIES, LLC; NOT INVESTMENT RELATED; 5061 N HWY A1A, #105, HUTCHINSON ISLAND, FL 34949; 3/2010 TO PRESENT; OWNER' TAX PLANNING and COMPLIANCE; INSURANCE SALES (LIFE AND FIXED ANNUITIES). APPROX. 5 HOURS MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Winston Bain JR.'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®

CFP^®

Certified Financial Planner

Start date: 2000

Experience

Current

April 20, 2011 - Present

MBIA CAPITAL ADVISORS

Office #1: 1248 Springfield Pike Na, Cincinnati, OH 45215

RIA

CRD#: 154255

Cincinnati, OH

Past

May 28, 2010 - December 31, 2010

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

CINCINNATI, OH

Past

May 17, 2010 - April 29, 2011

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

CINCINNATI, OH

Past

December 6, 2007 - May 4, 2010

HLM SECURITIES, INC.

CRD#: 133216

CHICAGO, IL

Past

May 18, 2005 - November 9, 2005

EQUITY ANALYSTS INC.

RIA

CRD#: 15876

CINCINNATI, OH

Past

May 18, 2005 - November 9, 2005

EQUITY ANALYSTS INC.

CRD#: 15876

CINCINNATI, OH

Past

September 1, 2004 - May 10, 2005

SICOR SECURITIES INC

RIA

CRD#: 16195

WEST CHESTER, OH

Past

September 1, 2004 - May 10, 2005

SICOR SECURITIES INC

CRD#: 16195

DAYTON, OH

Past

June 10, 2004 - September 7, 2004

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

April 30, 2004 - September 7, 2004

WADDELL & REED

RIA

CRD#: 866

CINCINNATI, OH

Past

June 17, 2003 - October 28, 2003

ERNST & YOUNG INVESTMENT ADVISERS LLP

RIA

CRD#: 110921

CINCINNATI, OH

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".

MBIA CAPITAL ADVISORS

M&B INVESTMENT ADVISORS, LLC | MBIA CAPITAL ADVISORS

CRD#: 154255 / SEC#: 801-129985

RIA

Registered Investment Advisory firm - (4/29/2024 Approved)

Florida

Registered Investment Advisory firm - (5/1/2024 Terminated)

Massachusetts

Registered Investment Advisory firm - (5/1/2024 Terminated)

Montana

Registered Investment Advisory firm - (6/5/2023 Terminated)

Ohio

Registered Investment Advisory firm - (5/1/2024 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

Florida
(9/17/2021)

IAR

Ohio
(4/20/2011)

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

Series 63

Date: 12/17/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/6/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/8/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MBIA CAPITAL ADVISORS

M&B INVESTMENT ADVISORS, LLC | MBIA CAPITAL ADVISORS

CRD#: 154255 / SEC#: 801-129985

RIA

Registered Investment Advisory firm - (4/29/2024 Approved)

Florida

Registered Investment Advisory firm - (5/1/2024 Terminated)

Massachusetts

Registered Investment Advisory firm - (5/1/2024 Terminated)

Montana

Registered Investment Advisory firm - (6/5/2023 Terminated)

Ohio

Registered Investment Advisory firm - (5/1/2024 Terminated)

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Contact information

Main Address

1248 Springfield Pike Na, Cincinnati, OH 45215-2142

Mailing Address

Phone number

(513) 324-2201

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

M&B INVESTMENT ADVISERS WRAP BROCHURE (3/28/2025)

M & B INVESTMENT ADVISORS, LLC (3/28/2025)

Regulatory assets under management

Total Number of Accounts	495
AUM (Assets Under Management)	$ 232,030,930

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 W. Bain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Winston Bain JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

ON INVESTMENT MANAGEMENT CO

THE O.N. EQUITY SALES COMPANY

HLM SECURITIES, INC.

EQUITY ANALYSTS INC.

EQUITY ANALYSTS INC.

SICOR SECURITIES INC

SICOR SECURITIES INC

WADDELL & REED

WADDELL & REED

ERNST & YOUNG INVESTMENT ADVISERS LLP

Primary Firm SEC Registration

MBIA CAPITAL ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 12/17/2004

Series 7

Date: 1/6/2011

Series 6

Date: 6/8/2004

Current Firm

MBIA CAPITAL ADVISORS

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MBIA CAPITAL ADVISORS

TRUST BUT VERIFY

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