MA
Michael S. Ames
STONEX ADVISORS
Cornelius, NC 28031
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CRD#: 5893669
MA
Professional summary
Michael Steven Ames is a registered financial advisor currently at STONEX ADVISORS INC. located in Cornelius, North Carolina and STONEX SECURITIES INC. located in Cornelius, North Carolina.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Michael has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) Lake Norman Advisor LLC 708 McLair Rd, Kannapolis, NC 28083 Nature of Business: this is the marketing group for my investment business run through SA Stone. Investment Related: Yes Business Position, Title or Association: Financial Advisor Business Duties: I am a Financial Advisor as part of the group using the Lake Norman Advisor name as our local marketing. Business start date: 09/10/2020 Approximately 40 hours devoted to this OBA monthly, with 40 hours devoted during market hours monthly. 2) Ames Wealth Management, LLC 20915 Catawba Ave Cornelius, NC 28031 Nature of Business: Ames Wealth Management, LLC is my LLC for income received from investments under my personal name for tax purposes. This name will not be used for marketing anything. Investment Related: Yes Title: Owner Start Date: 12/16/2020 Duties: This is solely created for tax purposes for my investment income received. Hours Devoted to Business: 40 Hours Devoted to Business during Market Hours: 40 3) Synergy Insurance Group, 7048 McLain Rd, Kannapolis, NC 28083 Nature of Business: Insurance Sales Investment Related: No Business Position: Agent Business Duties: Sale of insurance products and fixed annuities Business Start Date: 07/29/2021 Approximately 15 hours spent on this OBA monthly, with 15 hours spent on this OBA monthly during market hours. 4) Buckhead Brokerage Group - 4320 Suwanee Dam Rd, Suite 2400, Suwanee, GA 30024 Nature of Business: Approved partner for Index Annuities Investment Related: Yes Business Position: Agent Business Duties: Utilizing for access to index annuities Business Start Date: 04/28/2022 Approximately ten hours spent on this OBA monthly, with ten spent during market hours.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Steven Ames'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 3, 2020 - Present
STONEX ADVISORS INC.
Office #1: 20915 Catawba Ave, Cornelius, NC 28031RIA
CRD#: 174182
Cornelius, NC
Current
August 3, 2020 - Present
STONEX SECURITIES INC.
Office #1: 20915 Catawba Ave, Cornelius, NC 28031BD
CRD#: 18456
Cornelius, NC
Past
March 31, 2015 - August 7, 2020
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
CORNELIUS, NC
Past
March 31, 2015 - August 7, 2020
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
CORNELIUS, NC
Past
January 31, 2014 - March 17, 2015
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
HUNTERSVILLE, NC
Past
January 2, 2014 - March 17, 2015
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
HUNTERSVILLE, NC
Past
March 14, 2012 - January 13, 2014
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
CHARLOTTE, NC
Past
March 8, 2011 - February 17, 2012
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
CORNELIUS, NC
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
STONEX ADVISORS INC.
ABERDEEN FINANCIAL GROUP | WOYTOWICH WISLOSKI INVESTMENT GROUP | WOODEN INVESTMENTS | WILLOWBY ADVISORS | WEALTH MANAGEMENT SOLUTIONS | WAINWRIGHT LAVENTIS | WAHFELD WEALTH MANAGEMENT GROUP | TEWKSBURY FINANCIAL LLC | SYNERGY WEALTH MANAGEMENT | STURM FINANCIAL SERVICES | STREET FINANICAL SERVICES | STRATEGIC FINANCIAL GROUP | STORMS AND ROWDON WEALTH MANAGEMENT | STONEX WEALTH MANAGEMENT | STONEX ADVISORS INC. | STONE FINANCIAL GROUP, LLC | STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. | SPARGER INVESTMENTS | SMART MONEY STRATEGIES, INC. | SA STONE INVESTMENT ADVISORS INC. | RON COITE & ASSOCIATES | ROBERTS WEALTH MANAGEMENT | RKB INVESTMENTS | RIVER FINANCIAL SERVICES | RICHMOND FINANCIAL LLC | REGENCY FINANICAL GROUP, LLC | REDSTONE FINANCIAL ADVISORS | QUARRY LAKES FINANCIAL GROUP | PARTNERS FINANCIAL GROUP, LLC | ONE SOURCE FINANCIAL GROUP | OLDE HICKORY FINANCIAL SERVICES, LLC | OAK CREST FINANCIAL PARTNERS LLC | NUFRIO WEALTH MANAGEMENT | NEBEL FINANCIAL | MORRIS, SMITH & HAYDEN WEALTH MANAGEMENT | MAX WEALTH MANAGEMENT | MANAGED LEGACY WEALTH COUNSEL | LIFESCOPE PLANNING AND INVESTMENT SERVICES | LEGACY INVESTMENT PLANNING | LANNIGAN SECURITIES | LANEY FINANCIAL | LANCE HOCUTT FINANCIAL GROUP | LAKE NORMAN ADVISORS LLC | KPJ FINANCIAL SERVICES | KEVIN DICK ASSET MANAGEMENT CO | KENNARD FINANCIAL SERVICES | KEITH FORD AND ASSOCIATES | KAIROS FINANCIAL MANAGEMENT | INVESTMENT SECURITIES GROUP, INC. | INTEGRARISK CORP | IM WEALTH PARTNERS | HOVANIC WEALTH SOLUTIONS | HLM FINANCIAL SERVICES, INC. | HIZNAY & ASSOCIATES | HENRY WEALTH MANAGEMENT | HENDERSON FINANCIAL SERVICES | HEADWATER ASSET MANAGEMENT, LLC | GUARDIAN WEALTH FINANCIAL | GRUDZINSKI FINANCIAL SERVICES | GRANDVIEW WEALTH ADVISORS | GEORGE STRATEGIC WEALTH | ELLEDGE, BAIN, SIDES, LLC | EAGLE CREEK WEALTH MANAGEMENT, LLC | DON LEDFORD ASSOCIATES, LLC | DILWORTH FINANCIAL SERVICES | DCP ASSET MANAGEMENT, LLC | CWT FINANCIAL | CRESS WEALTH STRATEGIES | COX FINANCIAL CORPORATION | CORLEY WEALTH MANAGEMENT | CONSERVATIVE CONCEPTS, INC. | COMPASS WEALTH MANAGEMENT, LLC | CHAD J. KARL | BUSSEY CAPITAL MANAGEMENT, LLC | BURLESON DAWKINS INC. | BARNEGAT FINANCIAL | BARKO FINANCIAL | AFFILIATED FINANCIAL PLANNERS, LLC
CRD#: 174182 / SEC#: 801-80747
RIA
Registered Investment Advisory firm - (12/17/2014 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
Connecticut(10/27/2022)
RR
Florida(8/3/2020)
RR
Georgia(8/23/2023)
RR
Idaho(1/12/2024)
RR
New York(3/22/2023)
IAR
North Carolina(8/3/2020)
RR
North Carolina(8/7/2020)
RR
Ohio(5/30/2024)
RR
South Carolina(2/28/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SA
STONEX ADVISORS INC.
ABERDEEN FINANCIAL GROUP | WOYTOWICH WISLOSKI INVESTMENT GROUP | WOODEN INVESTMENTS | WILLOWBY ADVISORS | WEALTH MANAGEMENT SOLUTIONS | WAINWRIGHT LAVENTIS | WAHFELD WEALTH MANAGEMENT GROUP | TEWKSBURY FINANCIAL LLC | SYNERGY WEALTH MANAGEMENT | STURM FINANCIAL SERVICES | STREET FINANICAL SERVICES | STRATEGIC FINANCIAL GROUP | STORMS AND ROWDON WEALTH MANAGEMENT | STONEX WEALTH MANAGEMENT | STONEX ADVISORS INC. | STONE FINANCIAL GROUP, LLC | STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. | SPARGER INVESTMENTS | SMART MONEY STRATEGIES, INC. | SA STONE INVESTMENT ADVISORS INC. | RON COITE & ASSOCIATES | ROBERTS WEALTH MANAGEMENT | RKB INVESTMENTS | RIVER FINANCIAL SERVICES | RICHMOND FINANCIAL LLC | REGENCY FINANICAL GROUP, LLC | REDSTONE FINANCIAL ADVISORS | QUARRY LAKES FINANCIAL GROUP | PARTNERS FINANCIAL GROUP, LLC | ONE SOURCE FINANCIAL GROUP | OLDE HICKORY FINANCIAL SERVICES, LLC | OAK CREST FINANCIAL PARTNERS LLC | NUFRIO WEALTH MANAGEMENT | NEBEL FINANCIAL | MORRIS, SMITH & HAYDEN WEALTH MANAGEMENT | MAX WEALTH MANAGEMENT | MANAGED LEGACY WEALTH COUNSEL | LIFESCOPE PLANNING AND INVESTMENT SERVICES | LEGACY INVESTMENT PLANNING | LANNIGAN SECURITIES | LANEY FINANCIAL | LANCE HOCUTT FINANCIAL GROUP | LAKE NORMAN ADVISORS LLC | KPJ FINANCIAL SERVICES | KEVIN DICK ASSET MANAGEMENT CO | KENNARD FINANCIAL SERVICES | KEITH FORD AND ASSOCIATES | KAIROS FINANCIAL MANAGEMENT | INVESTMENT SECURITIES GROUP, INC. | INTEGRARISK CORP | IM WEALTH PARTNERS | HOVANIC WEALTH SOLUTIONS | HLM FINANCIAL SERVICES, INC. | HIZNAY & ASSOCIATES | HENRY WEALTH MANAGEMENT | HENDERSON FINANCIAL SERVICES | HEADWATER ASSET MANAGEMENT, LLC | GUARDIAN WEALTH FINANCIAL | GRUDZINSKI FINANCIAL SERVICES | GRANDVIEW WEALTH ADVISORS | GEORGE STRATEGIC WEALTH | ELLEDGE, BAIN, SIDES, LLC | EAGLE CREEK WEALTH MANAGEMENT, LLC | DON LEDFORD ASSOCIATES, LLC | DILWORTH FINANCIAL SERVICES | DCP ASSET MANAGEMENT, LLC | CWT FINANCIAL | CRESS WEALTH STRATEGIES | COX FINANCIAL CORPORATION | CORLEY WEALTH MANAGEMENT | CONSERVATIVE CONCEPTS, INC. | COMPASS WEALTH MANAGEMENT, LLC | CHAD J. KARL | BUSSEY CAPITAL MANAGEMENT, LLC | BURLESON DAWKINS INC. | BARNEGAT FINANCIAL | BARKO FINANCIAL | AFFILIATED FINANCIAL PLANNERS, LLC
CRD#: 174182 / SEC#: 801-80747
RIA
Registered Investment Advisory firm - (12/17/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243
Mailing Address
Phone number
(800) 292-2411
Established
Firm type
Fiscal year end
# of Employees
233
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,988 |
| AUM (Assets Under Management) | $ 4,515,278,523 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/27/2025 | ||
| 02/27/2024 | ||
| 01/20/2023 |
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.
