Cindy A. Mikel

MIKEL WEALTH MANAGEMENT

AUSTIN, TX

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CRD#: 5970446

Professional summary

Cindy Ann Mikel is a registered financial advisor currently at MIKEL WEALTH MANAGEMENT located in Austin, Texas.

Cindy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Cindy has worked at 3 firms and has passed the Series 66, SIE and Series 7 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.

CENTRAL PRESBYTERIAN CHURCH - NOT INVESTMENT-RELATED, 200 E 8TH STREET, AUSTIN, TX, NON-PROFIT RELIGIOUS ORGANIZATION, BOOKKEEPER, 10/2017 TO PRESENT, 20 HRS/MO WITH 0 HRS/MO DURING TRADING HOURS, BOOKKEEPING SERVICES; LAW OFFICE OF CINDY MIKEL - NOT INVESTMENT-RELATED, 5313 SERENE HILLS DRIVE #4407, AUSTIN, TX 78738, ATTORNEY SERVICES, OWNER-LAWYER, PRACTICING SINCE 11/1987, FIRM WAS ORGANIZED IN 2018; 5 HRS/MO WITH 0 HRS/MO DURING TRADING HOURS, ATTORNEY SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cindy Ann Mikel'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®

None

Experience

Current

July 16, 2024 - Present

MIKEL WEALTH MANAGEMENT

RIA

CRD#: 331825

AUSTIN, TX

Past

January 17, 2024 - July 31, 2024

SMITH WEALTH ADVISORS, LLC

RIA

CRD#: 269848

AUSITN, TX

Past

July 28, 2023 - December 31, 2023

SMITH WEALTH ADVISORS, LLC

RIA

CRD#: 269848

Austin, TX

Past

June 13, 2022 - December 31, 2022

SMITH WEALTH ADVISORS, LLC

RIA

CRD#: 269848

AUSITN, TX

Past

January 24, 2019 - December 31, 2021

SMITH WEALTH ADVISORS, LLC

RIA

CRD#: 269848

AUSITN, TX

Past

February 12, 2018 - December 31, 2018

SMITH WEALTH ADVISORS, LLC

RIA

CRD#: 269848

AUSTIN, TX

Past

October 24, 2011 - February 13, 2018

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

SAN ANTONIO, TX

Past

September 8, 2011 - February 13, 2018

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

SAN ANTONIO, TX

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

Texas
(7/16/2024)

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: 10/4/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 2/13/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/7/2011

General Securities Representative Examination

Current Firm

MIKEL WEALTH MANAGEMENT

MIKEL WEALTH MANAGEMENT | SMITH WEALTH ADVISORS, LLC | MIKEL WEALTH MANAGEMENT, LLC

CRD#: 331825 / SEC#:

Texas

Registered Investment Advisory firm - (7/16/2024 Approved)

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Contact information

Main Address

Dallas, TX

Mailing Address

Phone number

(210) 569-2805

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	171
AUM (Assets Under Management)	$ 19,700,000

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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Cindy A. Mikel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cindy Ann Mikel's CRS (Customer Relationship Summary).

Certified licenses

Experience

MIKEL WEALTH MANAGEMENT

SMITH WEALTH ADVISORS, LLC

SMITH WEALTH ADVISORS, LLC

SMITH WEALTH ADVISORS, LLC

SMITH WEALTH ADVISORS, LLC

SMITH WEALTH ADVISORS, LLC

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/4/2011

SIE

Date: 2/13/2018

Series 7

Date: 9/7/2011

Current Firm

MIKEL WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MIKEL WEALTH MANAGEMENT

TRUST BUT VERIFY

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