Mikaiel S. Amistoso

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CRD#: 5614366

Professional summary

Being a previously registered professional could mean that this person 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.

Mikaiel Stephen Amistoso, who also goes by Mikaiel Amistoso, was a registered financial professional .

Mikaiel is a previously registered financial professional and started their career in finance in 2009. Mikaiel had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mikaiel Amistoso

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)

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

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

Past

March 24, 2015 - April 23, 2021

SWAN GLOBAL INVESTMENTS, LLC

RIA

CRD#: 114669

TAMPA, FL

Past

February 20, 2015 - June 27, 2017

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

December 12, 2014 - January 12, 2015

SHOPOFF SECURITIES, INC.

CRD#: 142866

IRVINE, CA

Past

December 17, 2013 - December 9, 2014

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 144426

MIAMI, FL

Past

August 15, 2013 - December 9, 2014

INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645

ORLANDO, FL

Past

January 27, 2012 - July 16, 2013

KBR CAPITAL MARKETS, LLC

CRD#: 128800

REDWOOD CITY, CA

Past

April 25, 2011 - January 18, 2012

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

HONOLULU, HI

Past

April 14, 2011 - January 18, 2012

PARK AVENUE SECURITIES LLC

CRD#: 46173

HONOLULU, HI

Past

October 30, 2009 - January 3, 2011

MML INVESTORS SERVICES, LLC

CRD#: 10409

HONOLULU, HI

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".

SWAN GLOBAL INVESTMENTS, LLC

SWAN CONSULTING, INC. | SWAN WEALTH ADVISORS, INC. | SWAN GLOBAL INVESTMENTS, LLC

CRD#: 114669 / SEC#: 801-70881

RIA

Registered Investment Advisory firm - (1/4/2010 Approved)

Colorado

Registered Investment Advisory firm - (2/19/2010 Terminated)

Texas

Registered Investment Advisory firm - (1/4/2010 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.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 12/23/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/27/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/29/2009

General Securities Representative Examination

Current Firm

SWAN GLOBAL INVESTMENTS, LLC

SWAN CONSULTING, INC. | SWAN WEALTH ADVISORS, INC. | SWAN GLOBAL INVESTMENTS, LLC

CRD#: 114669 / SEC#: 801-70881

RIA

Registered Investment Advisory firm - (1/4/2010 Approved)

Colorado

Registered Investment Advisory firm - (2/19/2010 Terminated)

Texas

Registered Investment Advisory firm - (1/4/2010 Terminated)

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Contact information

Main Address

1099 Main Ave Suite 206, Durango, CO 81301

Mailing Address

Phone number

(970) 382-8901

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SWAN GLOBAL INVESTMENTS LLC ADV PART 2A BROCHURE (3/18/2025)

Regulatory assets under management

Total Number of Accounts	1,969
AUM (Assets Under Management)	$ 2,406,792,590

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

Mikaiel S. Amistoso

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NORTHERN LIGHTS DISTRIBUTORS, LLC

SHOPOFF SECURITIES, INC.

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

INTERNATIONAL ASSETS ADVISORY, LLC

KBR CAPITAL MARKETS, LLC

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

SWAN GLOBAL INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/23/2009

SIE

Date: 6/27/2017

Series 7

Date: 10/29/2009

Current Firm

SWAN GLOBAL INVESTMENTS, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SWAN GLOBAL INVESTMENTS, LLC

TRUST BUT VERIFY

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