Michael D. Wallen

MAINSTAY CAPITAL MANAGEMENT

TROY, MI 48083

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CRD#: 4788280

Professional summary

Michael D Wallen II, CFP®, who also goes by Michael Dale Wallen II, Michael Dale Wallen, is a registered financial advisor currently at MAINSTAY CAPITAL MANAGEMENT, LLC located in Troy, Michigan.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Michael has worked at 4 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Dale Wallen Ii | Michael Dale Wallen

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 D Wallen II'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: 2010

Experience

Current

August 8, 2011 - Present

MAINSTAY CAPITAL MANAGEMENT, LLC

Office #1: 100 E. Big Beaver Road Suite 103, Troy, MI 48083

RIA

CRD#: 109528

TROY, MI

Past

May 26, 2010 - April 25, 2011

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

TROY, MI

Past

August 31, 2007 - April 25, 2011

CHARLES SCHWAB & CO., INC.

CRD#: 5393

TROY, MI

Past

August 7, 2006 - August 15, 2007

COUNTRYWIDE INVESTMENT SERVICES, INC.

CRD#: 103919

NORTHVILLE, MI

Past

June 15, 2004 - August 9, 2006

EDWARD JONES

CRD#: 250

COMMERCE TOWNSHIP, MI

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".

MAINSTAY CAPITAL MANAGEMENT, LLC

CRD#: 109528 / SEC#: 801-58099

RIA

Registered Investment Advisory firm - (11/14/2000 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

Michigan
(8/8/2011)

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

IAR

Series 66

Date: 4/13/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/17/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/14/2004

General Securities Representative Examination

Current Firm

MAINSTAY CAPITAL MANAGEMENT, LLC

CRD#: 109528 / SEC#: 801-58099

RIA

Registered Investment Advisory firm - (11/14/2000 Approved)

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Contact information

Main Address

10775 South Saginaw Bldg C, Suite F, Grand Blanc, MI 48439

Mailing Address

P.o. Box 487, Grand Blanc, MI 48480

Phone number

(866) 444-6246

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV (7/23/2025)

Regulatory assets under management

Total Number of Accounts	3,455
AUM (Assets Under Management)	$ 4,663,966,411

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/20/2024	Cover Page	Report
10/23/2023	Cover Page	Report
12/14/2022	Cover Page	Report

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 D. Wallen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael D Wallen II's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

COUNTRYWIDE INVESTMENT SERVICES, INC.

EDWARD JONES

Primary Firm SEC Registration

MAINSTAY CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/13/2010

Series 63

Date: 6/17/2004

Series 7

Date: 6/14/2004

Current Firm

MAINSTAY CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MAINSTAY CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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