Mark B. Michalek

RAMSAY STATTMAN VELA & PRICE

Colorado Springs, CO 80903

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CRD#: 4730079

Professional summary

Mark Brian Michalek, CFA, who also goes by Mark Michalek, is a registered financial advisor currently at RAMSAY STATTMAN VELA & PRICE INC located in Colorado Springs, Colorado.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Mark has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark Michalek

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 Mark Brian Michalek'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®

CFA

Chartered Financial Analyst

Experience

Current

August 22, 2022 - Present

RAMSAY STATTMAN VELA & PRICE INC

Office #1: 2 N. Cascade Ave., Ste 810, Colorado Springs, CO 80903

RIA

CRD#: 105156

Colorado Springs, CO

Past

February 21, 2018 - December 21, 2021

UBS SECURITIES LLC

CRD#: 7654

Denver, CO

Past

May 31, 2006 - July 18, 2022

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

Denver, CO

Past

May 31, 2006 - July 18, 2022

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Denver, CO

Past

May 4, 2004 - May 17, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

DENVER, CO

Past

May 4, 2004 - May 17, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

DENVER, CO

Past

January 7, 2004 - April 9, 2004

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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".

RAMSAY STATTMAN VELA & PRICE INC

CRD#: 105156 / SEC#: 801-11769

RIA

Registered Investment Advisory firm - (5/25/1976 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

Colorado
(8/22/2022)

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: 6/26/2006

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: 1/6/2004

General Securities Representative Examination

Current Firm

RAMSAY STATTMAN VELA & PRICE INC

CRD#: 105156 / SEC#: 801-11769

RIA

Registered Investment Advisory firm - (5/25/1976 Approved)

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Contact information

Main Address

2 N. Cascade Ave., Ste 810, Colorado Springs, CO 80903

Mailing Address

Phone number

(719) 473-6925

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (2/4/2025)

Regulatory assets under management

Total Number of Accounts	390
AUM (Assets Under Management)	$ 764,597,670

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

Mark B. Michalek

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Brian Michalek's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS SECURITIES LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

RAMSAY STATTMAN VELA & PRICE INC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/26/2006

SIE

Date: 10/1/2018

Series 7

Date: 1/6/2004

Current Firm

RAMSAY STATTMAN VELA & PRICE INC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RAMSAY STATTMAN VELA & PRICE INC

TRUST BUT VERIFY

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