Michael D. King

BAROLDI WOOD MANCE FINANCIAL ADVISORS

FOOTHILL RANCH, CA 92610

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CRD#: 5391287

Professional summary

Michael Dean King JR, who also goes by Michael Dean King, is a registered financial advisor currently at BAROLDI WOOD MANCE FINANCIAL ADVISORS, LLC located in Foothill Ranch, California.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Michael has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Dean King

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.

Baroldi Gundersen, LLP; Not Investment Related; 27442 Portola Pkwy, Ste 155, Foothill Ranch, CA 92610; Accounting; Accountant; Start 01/2007; 160 hrs/month; 6 hrs during trading hours; Preparing and analyzing financial statements, tax compliance and tax projection services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Dean King JR'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

February 12, 2025 - Present

BAROLDI WOOD MANCE FINANCIAL ADVISORS, LLC

Office #1: 27442 Portola Parkway Suite 155, Foothill Ranch, CA 92610

RIA

CRD#: 317002

FOOTHILL RANCH, CA

Past

September 11, 2007 - September 27, 2018

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

MISSION VIEJO, CA

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
(2/12/2025)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/11/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/17/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/27/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/10/2007

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BAROLDI WOOD MANCE FINANCIAL ADVISORS, LLC

BAROLDI GUNDERSEN FINANCIAL ADVISORS LLC | BAROLDI WOOD MANCE FINANCIAL ADVISORS, LLC

CRD#: 317002 / SEC#: 801-122680

RIA

Registered Investment Advisory firm - (4/22/2022 Terminated)

California

Registered Investment Advisory firm - (4/19/2022 Approved)

Texas

Registered Investment Advisory firm - (5/9/2022 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

27442 Portola Parkway Suite 155, Foothill Ranch, CA 92610

Mailing Address

Phone number

(949) 472-9432

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	252
AUM (Assets Under Management)	$ 61,595,244

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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Michael D. King

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Dean King JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

BAROLDI WOOD MANCE FINANCIAL ADVISORS, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/11/2025

Series 63

Date: 9/17/2007

SIE

Date: 9/27/2018

Series 6

Date: 9/10/2007

Current Firm

BAROLDI WOOD MANCE FINANCIAL ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BAROLDI WOOD MANCE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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