Michael A. Faulhaber

FIRST COMMAND ADVISORY SERVICES

FT LUPTON, CO

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CRD#: 4965793

Professional summary

Michael Anthony Faulhaber, CFP®, ChFC®, CLU®, who also goes by Michael Anthony Faulhaber, Mike Faulhaber, is a registered financial advisor currently at FIRST COMMAND ADVISORY SERVICES located in Ft Lupton, Colorado and FIRST COMMAND BROKERAGE SERVICES, INC. located in Fort Worth, Texas.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Michael has worked at 5 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 6, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Anthony Faulhaber | Mike Faulhaber

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.

*MICHAEL FAULHABER,190 LANE COURT,FORT LUPTON,CO 80621,NOT INV REL,NOT DURING TRD/HRS,06/03/2024,ONGOING,VOLUNTEER/MENTOR,WORKING WITH UNIVERSITIES HELPING STUDENTS FIND THEIR CAREER PATH,1%*KEEP SWIMMING,LLC(AKA-WENDY JO COACHING),190 LANE COURT,FORT LUPTON,CO 80621,06/03/024,ONGOING,LIFE/BUSINESS COACHING & SEMINARS,RUN COACHING SESSION AND SEMINARS,EXECUTIVE COACH PRACTITIONER,NOT INV REL,NOT DURING TRD/HRS,0%*MAD MINISTRIES,7100 SOUTH BOULDER ROAD,BOULDER,CO 80303,06/03/2024,ONGOING,NOT INV REL,NOT DURING TRD/HRS,MAD MINISTRIES FAITH BASED YOUTH CENTER CALLED FAD IN BRAZIL, BOARD MEMBER AND CHILD SPONSOR, 0%*MICHAEL A FAULHABER, CFP,190 LANE COURT, FORT LUPTON, CO 80621,06/03/2024,ONGOING,INSURANCE,AGENT,INV REL,DURING TRD/HRS,1%*LAKESHORE FINANCIAL GROUP,190 LANE COURT,FORT LUPTON, CO 80621,06/03/2024,INV REL,DURING TRD/HRS,ONGOING,INSURANCE,AGENT,40+HRS/WK*NATIONAL LIFE,190 LANE COURT, FORT LUPTON, CO 80621,06/03/2024,ONGOING,INV REL,INSURANCE, AGENT,DURING TRD/HRS,40+HRS/WK*LAKESHORE FINANCIAL GROUP-ROCKY MOUNTAINS,190 LANE COURT, FORT LUPTON, CO 80621,06/25/2024,ONGOING,OWNER/OPERATOR, INV RELATED, MANAGING DIRECTOR,INSURANCE, AGENT, DURING TRD/HRS,100%.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Anthony Faulhaber'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: 2016

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

April 17, 2025 - Present

FIRST COMMAND ADVISORY SERVICES

RIA

CRD#: 281958

FT LUPTON, CO

Current

April 17, 2025 - Present

FIRST COMMAND BROKERAGE SERVICES, INC.

Office #1: 1 Firstcomm Plaza, Fort Worth, TX 76109

CRD#: 3641

Fort Worth, TX

Past

June 10, 2024 - April 1, 2025

EQUITY SERVICES, INC.

RIA

CRD#: 265

FORT LUPTON, CO

Past

June 10, 2024 - April 1, 2025

EQUITY SERVICES, INC.

CRD#: 265

FORT LUPTON, CO

Past

February 3, 2021 - June 4, 2024

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA

CRD#: 611

CENTENNIAL, CO

Past

February 3, 2021 - June 4, 2024

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

CENTENNIAL, CO

Past

June 20, 2011 - February 2, 2021

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

BOULDER, CO

Past

June 27, 2005 - February 2, 2021

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

BOULDER, CO

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".

FIRST COMMAND ADVISORY SERVICES

CRD#: 281958 / SEC#: 801-56942

RIA

Registered Investment Advisory firm - (7/28/2005 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.

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

Colorado
(4/17/2025)

IAR

Colorado
(4/17/2025)

Texas
(4/17/2025)

IAR

Texas
(4/17/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/17/2011

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/12/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/25/2005

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/26/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 5/26/2011

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/18/2011

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

FIRST COMMAND ADVISORY SERVICES

CRD#: 281958 / SEC#: 801-56942

RIA

Registered Investment Advisory firm - (7/28/2005 Approved)

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Contact information

Main Address

1 Firstcomm Plaza, Fort Worth, TX 76109

Mailing Address

Po Box 2387, Fort Worth, TX 76113-2387

Phone number

(817) 731-8621

Established

Firm type

Fiscal year end

# of Employees

1,787

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP PROGRAM BROCHURE (10/30/2024)

DESCRIPTION OF SERVICES (10/30/2024)

Regulatory assets under management

Total Number of Accounts	110,166
AUM (Assets Under Management)	$ 22,090,760,499

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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Firm Stability Insights

Michael A. Faulhaber

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Anthony Faulhaber's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST COMMAND BROKERAGE SERVICES, INC.

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

FIRST COMMAND ADVISORY SERVICES

State Registrations and Notice Filings

Exams

Series 66

Date: 6/17/2011

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/12/2011

Series 6

Date: 6/25/2005

Series 24

Date: 6/26/2023

Series 10

Date: 5/26/2011

Series 9

Date: 5/18/2011

FINRA

Current Firm

FIRST COMMAND ADVISORY SERVICES

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST COMMAND ADVISORY SERVICES

TRUST BUT VERIFY

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