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Michael D. Mcniven

CUMBERLAND ADVISORS
West Lafayette, IN
Some features on this profile are disabled
CRD#: 5676699
MM

Professional summary

Michael Dennis Mcniven, who also goes by Mike Mcniven, is a registered financial advisor currently at CUMBERLAND ADVISORS located in West Lafayette, Indiana.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Michael has worked at 1 firm and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Mike Mcniven

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 Dennis Mcniven'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

February 10, 2020 - Present

CUMBERLAND ADVISORS

RIA
CRD#: 107964
West Lafayette, IN
Past

June 8, 2009 - November 21, 2019

CUMBERLAND ADVISORS

RIA
CRD#: 107964
VINELAND, NJ

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".
CA
CUMBERLAND ADVISORS
CUMBERLAND ADVISORS | CUMBERLAND CONSULTING | CUMBERLAND ADVISORS INC

CRD#: 107964 / SEC#: 801-55344

RIA
Registered Investment Advisory firm - (2/27/1998 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.

Highlighted states indicate IAR registrations

IAR
Indiana
(2/10/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/3/2009
Uniform Investment Adviser Law Examination

Current Firm

CA
CUMBERLAND ADVISORS
CUMBERLAND ADVISORS | CUMBERLAND CONSULTING | CUMBERLAND ADVISORS INC

CRD#: 107964 / SEC#: 801-55344

RIA
Registered Investment Advisory firm - (2/27/1998 Approved)
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Contact information

Main Address
1 South School Avenue Suite 900, Sarasota, FL 34237
Mailing Address
Phone number
(800) 257-7013
Established
Firm type
Fiscal year end
# of Employees
44

SEC notice filing (47 States and Territories)

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Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2B (3/4/2025)
ADV PART 2A (3/4/2025)

Regulatory assets under management

Total Number of Accounts2,550
AUM (Assets Under Management)$ 3,348,228,828

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

CUMBERLAND ADVISORS

CRD#: 107964West Lafayette, IN

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