Michael L. Remington

MIRAMONTES CAPITAL

Newport Beach, CA 92660

CRD#: 5593001

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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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Lee Remington'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

August 29, 2019 - Present

MIRAMONTES CAPITAL, LLC

Office #1: 4701 Teller Ave, Newport Beach, CA 92660

RIA

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 92660

CRD#: 4038

Newport Beach, CA

Past

November 17, 2021 - June 6, 2023

SAXONY SECURITIES, INC.

CRD#: 115547

Newport Beach, CA

Past

October 8, 2019 - November 17, 2021

PURSHE KAPLAN STERLING INVESTMENTS

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

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

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.

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

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".

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)

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).

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.

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

Arizona
(5/19/2023)

IAR

California
(8/29/2019)

California
(5/19/2023)

Florida
(5/19/2023)

Georgia
(5/19/2023)

Idaho
(6/1/2023)

Michigan
(5/19/2023)

Nevada
(9/19/2023)

New Jersey
(4/9/2025)

Texas
(5/19/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/14/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/28/2008

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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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

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A (11/19/2025)

WRAP FEE BROCHURE (11/19/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Michael L. Remington

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Lee Remington's CRS (Customer Relationship Summary).

Certified licenses

Experience

BALANCED SECURITY PLANNING, INC.

SAXONY SECURITIES, INC.

PURSHE KAPLAN STERLING INVESTMENTS

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

HBW ADVISORY SERVICES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

MIRAMONTES CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/14/2008

SIE

Date: 10/1/2018

Series 7

Date: 10/28/2008

FINRA

Current Firm

MIRAMONTES CAPITAL, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MIRAMONTES CAPITAL, LLC

TRUST BUT VERIFY

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