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RM

Ryan E. Mickelson

MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC
Marysville, OH 43040
Some features on this profile are disabled
CRD#: 5127583
RM

Professional summary

Ryan Edwin Mickelson, AIF®, CFP® is a registered financial advisor currently at MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC located in Marysville, Ohio.

Ryan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Ryan has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.
1. Fixed Insurance Sales; Agent; as of 07/01/2012; 15% of time spent during business hours; Conducted from the Branch Office; Investment Related 2. Co-Owner of rental property located in Marysville, OH, as of 12/01/2020; Less than 2% of time spent during business hours; Not conducted at branch location; Investment related. 3.Co-owner, Yellow Finch Financial, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 6/01/2021; Less than 5% of time spent during business hours; Conducted at branch; Investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan Edwin Mickelson'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®
AIF®

Accredited Investment Fiduciary

CFP®

Certified Financial Planner

Start date: 2012

Experience

Current

December 21, 2023 - Present

MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC

Office #1: 127 W. 5th Street, Marysville, OH 43040
RIA
CRD#: 328478
Marysville, OH
Past

July 10, 2012 - December 31, 2023

COMMONWEALTH FINANCIAL NETWORK

RIA
CRD#: 8032
MARYSVILLE, OH
Past

October 6, 2009 - December 31, 2023

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
MARYSVILLE, OH
Past

November 21, 2006 - October 5, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
KOKOMO, IN
Past

November 21, 2006 - October 5, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
KOKOMO, IN
Past

September 6, 2006 - October 19, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
INDIANAPOLIS, IN
Past

September 6, 2006 - October 19, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
INDIANAPOLIS, IN

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".
M&
MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC
MCCARTHY & COX | YELLOW FINCH FINANCIAL, LLC | MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC

CRD#: 328478 / SEC#: 801-128995

RIA
Registered Investment Advisory firm - (3/4/2024 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
Ohio
(12/22/2023)
IAR
Texas
(12/21/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/1/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/5/2006
General Securities Representative Examination

Current Firm

M&
MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC
MCCARTHY & COX | YELLOW FINCH FINANCIAL, LLC | MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC

CRD#: 328478 / SEC#: 801-128995

RIA
Registered Investment Advisory firm - (3/4/2024 Approved)
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Contact information

Main Address
127 W. 5th Street, Marysville, OH 43040
Mailing Address
Phone number
(937) 644-0351
Established
Firm type
Fiscal year end
# of Employees
20

SEC notice filing (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV 2A MARCH 2025 (3/5/2025)

Regulatory assets under management

Total Number of Accounts2,156
AUM (Assets Under Management)$ 641,806,550

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

MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC

CRD#: 328478Marysville, OH 43040

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