Michael C. Shotton

STEELPEAK WEALTH

Woodland Hills, CA 91367

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CRD#: 4997817

Professional summary

Michael Charles Shotton, who also goes by Mike Shotton, is a registered financial advisor currently at STEELPEAK WEALTH, LLC located in Woodland Hills, California.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Michael has worked at 5 firms and has passed the Series 65, Series 66, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Shotton

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 Charles Shotton'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®

None

Experience

Current

June 13, 2023 - Present

STEELPEAK WEALTH, LLC

Office #1: 21650 Oxnard Street Suite 2300, Woodland Hills, CA 91367

RIA

CRD#: 165168

Woodland Hills, CA

Past

July 25, 2022 - May 15, 2023

CANTOR FITZGERALD INVESTMENT ADVISORS

RIA

CRD#: 159296

NEW YORK, NY

Past

January 20, 2016 - May 15, 2023

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

October 27, 2009 - January 11, 2016

REALTY CAPITAL SECURITIES, LLC

CRD#: 145454

NEW YORK, NY

Past

November 8, 2006 - June 1, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN DIEGO, CA

Past

October 5, 2006 - June 1, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SAN DIEGO, CA

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".

STEELPEAK WEALTH, LLC

CRD#: 165168 / SEC#: 801-77132

RIA

Registered Investment Advisory firm - (9/10/2012 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

California
(6/13/2023)

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 65

Date: 7/22/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/7/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/29/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/2/2014

General Securities Principal Examination

Current Firm

STEELPEAK WEALTH, LLC

CRD#: 165168 / SEC#: 801-77132

RIA

Registered Investment Advisory firm - (9/10/2012 Approved)

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Contact information

Main Address

21650 Oxnard Street Suite 2300, Woodland Hills, CA 91367

Mailing Address

Phone number

(818) 835-8720

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (10/22/2025)

Regulatory assets under management

Total Number of Accounts	8,369
AUM (Assets Under Management)	$ 3,439,042,634

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 C. Shotton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Charles Shotton's CRS (Customer Relationship Summary).

Certified licenses

Experience

CANTOR FITZGERALD INVESTMENT ADVISORS

CANTOR FITZGERALD & CO.

REALTY CAPITAL SECURITIES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

STEELPEAK WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/22/2022

Series 66

Date: 11/7/2006

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/29/2006

Series 24

Date: 6/2/2014

Current Firm

STEELPEAK WEALTH, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STEELPEAK WEALTH, LLC

TRUST BUT VERIFY

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