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MA

Michael D Albrecht

CRD# 5404877·Registered 2011 - 2017
Previously Registered: Being a previously registered professional could mean that Michael is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Michael D Albrecht, who also goes by Michael D Albrecht Sr, Michael Douglas Albrecht, Michael Albrecht, Mike Albrecht, was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 2011 - 2017. Michael had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Michael D Albrecht Sr, Michael Douglas Albrecht, Michael Albrecht, Mike Albrecht

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

15 years in the financial services industry

Current & Past Employments

KANU ASSET MANAGEMENT, LLC·CRD# 168070
RIA
Cincinnati, OH
August 23, 2017 - November 10, 2017
J.P. MORGAN SECURITIES LLC·CRD# 79
RIA
Fairfield, OH
September 25, 2013 - February 17, 2017
J.P. MORGAN SECURITIES LLC·CRD# 79
BD
Fairfield, OH
September 25, 2013 - February 17, 2017
VALIC FINANCIAL ADVISORS, INC.·CRD# 42803
RIA
Columbus, OH
February 26, 2013 - August 22, 2013
VALIC FINANCIAL ADVISORS, INC.·CRD# 42803
BD
Columbus, OH
February 25, 2013 - August 22, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
RIA
Cincinnati, OH
February 16, 2012 - January 14, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
Cincinnati, OH
December 1, 2011 - January 14, 2013

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Current Firm

KA
KANU ASSET MANAGEMENT, LLC

KANU ASSET MANAGEMENT, LLC

CRD#: 168070
Louisiana
Registered Investment Advisory firm - Louisiana (8/1/2024 Approved)
Ohio
Registered Investment Advisory firm - Ohio (2/10/2014 Approved)
Texas
Registered Investment Advisory firm - Texas (6/3/2021 Conditional Restricted)
Virginia
Registered Investment Advisory firm - Virginia (3/5/2021 Approved)

Contact Information

Main Address

4015 Executive Park Drive Suite 402, Cincinnati, OH 45241

Phone Number

(513) 769-2700

# of Employees

4

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

367

AUM (Assets Under Management)

$16,027,175

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Feb 2012About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Feb 2017About the SIE exam

Series 7 — General Securities Representative Examination

Passed Nov 2011About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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