Michael D. Foley

WELLESLEY ASSET MANAGEMENT

Portsmouth, NH 03801

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CRD#: 5042262

Professional summary

Michael David Foley, who also goes by Michael D Foley, Mike Foley, is a registered financial advisor currently at WELLESLEY ASSET MANAGEMENT, INC. located in Portsmouth, New Hampshire.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Michael has worked at 9 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael D Foley | Mike Foley

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.

Wellesley Asset Management, Inc., Investment Related, Wellesley, MA, Vice President, Began 09/2015, 200 Hours Per Month, 130 During Trading Hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael David Foley'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

October 5, 2015 - Present

WELLESLEY ASSET MANAGEMENT, INC.

Office #1: 100 Market Street Suite 203, Portsmouth, NH 03801

RIA

CRD#: 116176

Portsmouth, NH

Past

January 29, 2018 - December 31, 2021

FORESIDE FUND SERVICES, LLC

CRD#: 46106

Wellesley, MA

Past

July 4, 2011 - September 29, 2015

E*TRADE SECURITIES LLC

CRD#: 29106

BOSTON, MA

Past

June 30, 2011 - September 29, 2015

HARRISDIRECT LLC

RIA

CRD#: 42159

ARLINGTON, VA

Past

November 1, 2010 - November 19, 2010

TD AMERITRADE, INC.

RIA

CRD#: 7870

QUINCY, MA

Past

August 10, 2007 - October 29, 2010

TD AMERITRADE, INC.

RIA

CRD#: 7870

QUINCY, MA

Past

August 10, 2007 - November 19, 2010

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

QUINCY, MA

Past

August 10, 2007 - November 19, 2010

TD AMERITRADE, INC.

CRD#: 7870

QUINCY, MA

Past

December 14, 2006 - August 1, 2007

SCOTTRADE, INC.

CRD#: 8206

NATICK, MA

Past

May 30, 2006 - November 13, 2006

EQUITABLE ADVISORS, LLC

CRD#: 6627

WELLESLEY, MA

Past

November 1, 2005 - March 22, 2006

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

BOSTON, MA

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".

WELLESLEY ASSET MANAGEMENT, INC.

WELLESLEY ASSET MANAGEMENT, INC. | WELLESLEY INVESTMENT ADVISORS, INC.

CRD#: 116176 / SEC#: 801-61288

RIA

Registered Investment Advisory firm - (6/27/2002 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

Massachusetts
(10/5/2015)

IAR

New Hampshire
(2/5/2020)

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

Series 63

Date: 1/23/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 7/10/2006

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: 6/23/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/31/2005

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WELLESLEY ASSET MANAGEMENT, INC.

WELLESLEY ASSET MANAGEMENT, INC. | WELLESLEY INVESTMENT ADVISORS, INC.

CRD#: 116176 / SEC#: 801-61288

RIA

Registered Investment Advisory firm - (6/27/2002 Approved)

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Contact information

Main Address

100 Market Street Suite 203, Portsmouth, NH 03801

Mailing Address

Phone number

(781) 416-4000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WAM ADV 2A REFERRED CLIENTS (10/29/2025)

WAM ADV 2A DIRECT CLIENTS (10/29/2025)

Regulatory assets under management

Total Number of Accounts	1,478
AUM (Assets Under Management)	$ 2,063,684,848

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. Foley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael David Foley's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

E*TRADE SECURITIES LLC

HARRISDIRECT LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

SCOTTRADE, INC.

EQUITABLE ADVISORS, LLC

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

WELLESLEY ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/23/2018

Series 66

Date: 7/10/2006

SIE

Date: 10/1/2018

Series 7

Date: 6/23/2006

Series 6

Date: 10/31/2005

Current Firm

WELLESLEY ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WELLESLEY ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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