MM
Michael F. Mccool
CARY STREET PARTNERS
ABINGDON, VA 24210
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CRD#: 4795315
MM
Professional summary
Michael Finn Mccool, who also goes by Mike Finn Mccool, is a registered financial advisor currently at CARY STREET PARTNERS located in Abingdon, Virginia and CARY STREET PARTNERS located in Abingdon, Virginia.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Michael has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Finn Mccool
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.
WASHINGTON CO PUBLIC LIBRARY. BOARD MEMBER. ABINGDON, VA. NOT INVESTMENT RELATED. HAS CONTROL OF THIRD PARTY ASSETS. NO COMPENSATION. START DATE: 2010. 2 MARKET HOUR/MONTH. 5 NON-MARKET HOUR /MONTH. HELP ON THE FINANCE COMMITTEE. THE FOUNDATION BOARD TRIES TO RAISE FUNDS AND DIRECTS FUNDS FOR OUR COUNTY LIBRARIES - TAX EXEMPT. Back up Executor for Family Friend's Estate, Investment Related, Estate Planning, Executor, 2022-11-11,0 hours per month,0 hours per month during trading hours,No Compensation Compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Michael Finn Mccool's 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®
NoneExperience
Current
July 31, 2009 - Present
CARY STREET PARTNERS
Office #1: 143 West Main St., Abingdon, VA 24210RIA
CRD#: 128545
ABINGDON, VA
Current
July 31, 2009 - Present
CARY STREET PARTNERS
Office #1: 143 West Main Street, Abingdon, VA 24210Office #2: 185 W. Main Street, Wytheville, VA 24382BD
CRD#: 128089
Abingdon, VA
Past
September 14, 2007 - August 4, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
ABINGDON, VA
Past
September 14, 2007 - August 4, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
ABINGDON, VA
Past
November 13, 2006 - September 17, 2007
BI INVESTMENTS, LLC
RIA
CRD#: 125437
ABINGDON, VA
Past
May 2, 2005 - September 17, 2007
BI INVESTMENTS, LLC
BD
CRD#: 125437
ABINGDON, VA
Past
May 17, 2004 - May 5, 2005
ICBA FINANCIAL SERVICES CORPORATION
BD
CRD#: 35089
MEMPHIS, TN
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".
CS
CARY STREET PARTNERS
CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC
CRD#: 128545 / SEC#: 801-64239
RIA
Registered Investment Advisory firm - (8/12/2005 Approved)Virginia
Registered Investment Advisory firm - (3/2/2007 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/8/2018)
RR
Alaska(1/20/2011)
RR
Arizona(8/1/2009)
RR
California(7/31/2009)
RR
Colorado(5/10/2018)
RR
District of Columbia(7/31/2009)
RR
Florida(7/31/2009)
RR
Georgia(7/31/2009)
RR
Hawaii(10/1/2015)
RR
Illinois(3/23/2010)
RR
Kansas(4/23/2018)
RR
Kentucky(5/4/2011)
RR
Louisiana(11/15/2013)
RR
Maine(10/7/2025)
RR
Maryland(6/14/2018)
RR
Massachusetts(10/16/2023)
RR
Michigan(12/20/2011)
RR
Mississippi(5/14/2021)
RR
Missouri(12/12/2016)
RR
New Hampshire(4/12/2021)
RR
New Mexico(2/8/2011)
RR
New York(7/31/2009)
RR
North Carolina(7/31/2009)
IAR
North Carolina(12/13/2018)
RR
North Dakota(12/19/2023)
RR
Ohio(10/18/2021)
RR
Pennsylvania(1/30/2023)
RR
South Carolina(7/31/2009)
RR
Tennessee(7/31/2009)
RR
Texas(7/31/2009)
IAR
Texas(1/10/2022)
RR
Utah(9/9/2025)
RR
Virginia(7/31/2009)
IAR
Virginia(7/31/2009)
RR
Washington(11/16/2012)
RR
West Virginia(7/31/2009)
RR
Wisconsin(5/3/2019)
RR
Wyoming(7/31/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CARY STREET PARTNERS
CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC
CRD#: 128545 / SEC#: 801-64239
RIA
Registered Investment Advisory firm - (8/12/2005 Approved)Virginia
Registered Investment Advisory firm - (3/2/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
901 East Byrd Street Suite 1001, Richmond, VA 23219
Mailing Address
Phone number
(804) 340-8100
Established
Firm type
Fiscal year end
# of Employees
166
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,853 |
| AUM (Assets Under Management) | $ 8,263,891,736 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/22/2024 | ||
| 07/25/2023 | ||
| 01/27/2023 |
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.
Company Information
CARY STREET PARTNERS
CRD#: 128545Abingdon, VA 24210TRUST BUT VERIFY
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