Michael S. Carle
STRATEGIC ADVISERS LLC | Financial Consultant
CINCINNATI, OH
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CRD#: 5580576
Professional summary
Michael S. Carle, CFP®, CPWA®, who also goes by Michael S Carle, Michael Carle, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Cincinnati, Ohio and FIDELITY BROKERAGE SERVICES LLC located in Covington, Kentucky.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Michael has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Biography
I'm happy to provide counsel and support for any personal financial decisions. My favorite topics are retirement planning, investment strategy, income planning, and tax efficiency. I can host our appointment by Zoom or phone, so please feel free to select 'Virtual' when scheduling.
Question & Answer
What are your service offerings?
Retirement Planning
Comprehensive Financial Planni...
Investment Planning
What is your minimum asset requirement?
1M
Are you a "fiduciary"?
Yes
Aliases
Michael S Carle | Michael Carle
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.
CRS (Client Relationship Summary) - RIA
Click below to view Michael S. Carle's 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®
CFP®
Start date: 2017
CPWA®
Start date: 2020-03-23
Expire date: 2024-02-29
Education
Yale University
Certificate - Wealth Management Theory and Practice
2020
Boston University
Certificate - Financial Planning
2016
University of Cincinnati
Master of Arts - Applied Economics
2007
University of Cincinnati
Bachelor of Arts (BA) - Economics
2006
Experience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 100 Howe Drive, Covington, KY 41015RIA
CRD#: 104555
CINCINNATI, OH
Current
September 5, 2008 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 100 Howe Drive, Covington, KY 41015BD
CRD#: 7784
Covington, KY
Past
July 13, 2018 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
COVINGTON, KY
Past
October 15, 2012 - July 13, 2018
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
COVINGTON, KY
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/2/2009)
RR
Alaska(1/2/2009)
RR
Arizona(9/16/2008)
RR
Arkansas(1/2/2009)
RR
California(9/16/2008)
RR
Colorado(9/5/2008)
RR
Connecticut(9/16/2008)
RR
Delaware(1/2/2009)
RR
District of Columbia(1/2/2009)
RR
Florida(9/5/2008)
RR
Georgia(9/16/2008)
RR
Hawaii(1/2/2009)
RR
Idaho(1/2/2009)
RR
Illinois(9/16/2008)
RR
Indiana(9/16/2008)
RR
Iowa(1/2/2009)
RR
Kansas(1/2/2009)
RR
Kentucky(9/16/2008)
IAR
Kentucky(3/31/2025)
RR
Louisiana(1/2/2009)
RR
Maine(1/2/2009)
RR
Maryland(9/5/2008)
RR
Massachusetts(9/16/2008)
RR
Michigan(9/16/2008)
RR
Minnesota(9/16/2008)
RR
Mississippi(1/2/2009)
RR
Missouri(9/16/2008)
RR
Montana(1/2/2009)
RR
Nebraska(1/2/2009)
RR
Nevada(1/2/2009)
RR
New Hampshire(1/2/2009)
RR
New Jersey(9/5/2008)
RR
New Mexico(1/2/2009)
RR
New York(9/16/2008)
RR
North Carolina(9/16/2008)
RR
North Dakota(6/6/2013)
RR
Ohio(9/5/2008)
IAR
Ohio(3/31/2025)
RR
Oklahoma(1/2/2009)
RR
Oregon(1/2/2009)
RR
Pennsylvania(9/16/2008)
RR
Puerto Rico(1/2/2015)
RR
Rhode Island(1/2/2009)
RR
South Carolina(1/2/2009)
RR
South Dakota(6/6/2013)
RR
Tennessee(6/6/2013)
RR
Texas(9/16/2008)
IAR
Texas(3/31/2025)
RR
Utah(1/2/2009)
RR
Vermont(1/2/2009)
RR
Virgin Islands(8/25/2021)
RR
Virginia(9/16/2008)
RR
Washington(9/16/2008)
RR
West Virginia(1/2/2009)
RR
Wisconsin(9/16/2008)
RR
Wyoming(1/2/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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
STRATEGIC ADVISERS LLC
Financial ConsultantCRD#: 104555Cincinnati, OHTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
