MR
Michael L. Remington
MIRAMONTES CAPITAL
Newport Beach, CA 92660
Some features on this profile are disabled
CRD#: 5593001
MR
Professional summary
Michael Lee Remington, who also goes by Michael Remington, Mike Remington, is a registered financial advisor currently at MIRAMONTES CAPITAL, LLC located in Newport Beach, California and BALANCED SECURITY PLANNING, INC. located in Newport Beach, California.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Michael has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Remington | Mike Remington
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) MIRAMONTES CAPITAL; DBA FOR INVESTMENT RELATED BUSINESS; INVESTMENT-RELATD; 4701 TELLER AVENUE; NEWPORT BEACH, CA, 92660, INVESTMENT ADVISORY BUSINESS; FINANCIAL ADVISOR; 08/2019; 40 HRS/MO; 40HR/MO DURING TRADING HRS; CONDUCT ADVISORY BUSINESS THROUGH RIA. 2) INSURANCE SALES; INVESTMENT-RELATED; 4701 TELLER AVENUE, NEWPORT BEACH, CA 92660; SELL LIFE, HEALTH ANNUITIES, FIXED & INDEXED AND LONG-TERM CARE; 05/1990; 40HRS/MO; 40HR/MO DURING TRADING HRS; SELL INSURANCE PRODUCTS. 3) ST. KALERI CHURCH; NON-INVESTMENT RELATED; 22508 COPPER HILL DRIVE, SANTA CLARITA, CA 91350; VARIOUS MINISTRY WORK INCLUDING TEACH CATHOLIC CONFIRMATION CLASS; 01/2020; 5HRS/MO, 0HR/MO DURING TRADING HRS; PLAY DRUMS IN CHOIR, TEACH RELIGION CLASSES, MEET WITH THE MEMBERS OF THE CHURCH. 4) RETROUVAILLE OF SANTA CLARITA; NON-INVESTMENT RELATED; NO ADDRESS; MARRAIGE COUNSELING; VOLUNTEER RELIGIOUS MINISTRY, BOARD MEMBER; 05/1990; 5HRS/MONTH, 0HRS/MONTH DURING TRADING HRS; HELP COUPLES WORK ON MARRAIGE, BE A MEMBER OF BOARD FOR BUSINESS MATTERS & PLANNING COUPLE RETREATS.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Lee Remington'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®
NoneExperience
Current
August 29, 2019 - Present
MIRAMONTES CAPITAL, LLC
Office #1: 4701 Teller Ave, Newport Beach, CA 92660RIA
CRD#: 264786
Newport Beach, CA
Current
May 19, 2023 - Present
BALANCED SECURITY PLANNING, INC.
Office #1: 4701 Teller Avenue, Newport Beach, CA 92660Office #2: 4701 Teller Avenue, Newport Beach, CA 92660BD
CRD#: 4038
Newport Beach, CA
Past
November 17, 2021 - June 6, 2023
SAXONY SECURITIES, INC.
BD
CRD#: 115547
Newport Beach, CA
Past
October 8, 2019 - November 17, 2021
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Newport Beach, CA
Past
August 29, 2014 - August 20, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
BAKERSFIELD, CA
Past
August 29, 2014 - August 20, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
BAKERSFIELD, CA
Past
July 16, 2014 - August 12, 2014
HBW ADVISORY SERVICES LLC
RIA
CRD#: 143665
STEVENSON RANCH, CA
Past
October 1, 2012 - May 9, 2014
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
SANTA CLARITA, CA
Past
October 1, 2012 - May 9, 2014
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
SANTA CLARITA, CA
Past
May 10, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
VALENCIA, CA
Past
May 10, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
VALENCIA, CA
Past
November 17, 2008 - May 6, 2011
EDWARD JONES
RIA
CRD#: 250
STEVENSON RANCH, CA
Past
October 29, 2008 - May 6, 2011
EDWARD JONES
BD
CRD#: 250
STEVENSON RANCH, CA
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".
MC
MIRAMONTES CAPITAL, LLC
BOYER & ASSOCIATES - STRATEGIC SOLUTIONS FOR WEALTH MANAGEMENT | VANCLEF FINANCIAL GROUP | PRIMARY ADVISORS | MIRAMONTES CAPITAL, LLC | MIRAMONTES CAPITAL , LLC
CRD#: 264786 / SEC#: 801-110012
RIA
Registered Investment Advisory firm - (3/2/2017 Approved)California
Registered Investment Advisory firm - (4/6/2017 Terminated)Texas
Registered Investment Advisory firm - (3/7/2017 Terminated)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
Arizona(5/19/2023)
IAR
California(8/29/2019)
RR
California(5/19/2023)
RR
Florida(5/19/2023)
RR
Georgia(5/19/2023)
RR
Idaho(6/1/2023)
RR
Michigan(5/19/2023)
RR
Nevada(9/19/2023)
RR
New Jersey(4/9/2025)
RR
Texas(5/19/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MC
MIRAMONTES CAPITAL, LLC
BOYER & ASSOCIATES - STRATEGIC SOLUTIONS FOR WEALTH MANAGEMENT | VANCLEF FINANCIAL GROUP | PRIMARY ADVISORS | MIRAMONTES CAPITAL, LLC | MIRAMONTES CAPITAL , LLC
CRD#: 264786 / SEC#: 801-110012
RIA
Registered Investment Advisory firm - (3/2/2017 Approved)California
Registered Investment Advisory firm - (4/6/2017 Terminated)Texas
Registered Investment Advisory firm - (3/7/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4701 Teller Ave, Newport Beach, CA 92660
Mailing Address
Phone number
+1 (800) 460-1595
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,245 |
| AUM (Assets Under Management) | $ 296,285,231 |
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.
