Michael Mitchell Drozd
Professional Summary
Michael Mitchell Drozd, who also goes by Michael M Drozd, is a registered financial advisor currently at LASALLE ST. INVESTMENT ADVISORS, L.L.C. located in Elmhurst, Illinois and LASALLE ST SECURITIES, L.L.C. located in Elmhurst, Illinois. Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Michael has worked at 8 firms and has passed the Series 66, Series 63, Series 6TO, Series 31, SIE,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Michael M Drozd
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
14 years in the financial services industry
Current & Past Employments
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Current Firm
LASALLE ST. INVESTMENT ADVISORS, L.L.C.
Contact Information
Main Address
940 N. Industrial Dr., Elmhurst, IL 60126-1131Phone Number
(630) 600-0500# of Employees
155SEC notice filing (49 States and Territories)
Registered to provide investment advisory services in 49 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
14,284AUM (Assets Under Management)
$5,742,301,554Similar Advisors
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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.
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Primary Firm SEC Registration
LASALLE ST. INVESTMENT ADVISORS, L.L.C.
State Registrations and Notice Filings
(7/3/2024)
(7/24/2024)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2023About the Series 6TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Feb 2012About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Michael Mitchell Drozd's CRS (Customer Relationship Summary).
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