Michael J. Fries

CABOT LODGE SECURITIES LLC

Minnetonka, MN 55305

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CRD#: 6192357

Professional summary

Michael John Fries, who also goes by Michael Fries, is a registered financial professional currently at CABOT LODGE SECURITIES LLC located in Minnetonka, Minnesota.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2013. Michael has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Fries

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) Navista Wealth Management, investment related, Minneapolis, MN, RIA, Licensed Rep/Account Executive, 10/2024, 160 hours per month,120 hours per month during trading hours, account executive duties, email, phone calls, trades, client requests, money movement. (2) Bjork Financial Services, Inc., investment related, Minneapolis, MN, independent advisory firm, Licensed Rep/Account Executive, 5/2024, 160 hours per month,120 hours per month during trading hours, account executive duties, email, phone calls, trades, client requests, money movement.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael John Fries'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

October 1, 2024 - Present

CABOT LODGE SECURITIES LLC

Office #1: 10900 Wayzata Blvd. Suite 720, Minnetonka, MN 55305

CRD#: 159712

Minnetonka, MN

Past

May 1, 2020 - October 2, 2024

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

MINNEAPOLIS, MN

Past

May 1, 2020 - October 2, 2024

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

MINNEAPOLIS, MN

Past

December 17, 2013 - May 4, 2020

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

GOLDEN VALLEY, MN

Past

December 17, 2013 - May 4, 2020

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

GOLDEN VALLEY, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Minnesota
(10/1/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 12/3/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/16/2013

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CABOT LODGE SECURITIES LLC

CABOT LODGE SECURITIES LLC | WENTWORTH CAPITAL MARKETS | PRIME UNITED SECURITIES LLC

CRD#: 159712 / SEC#: , 8-69009

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

425 N Martingale Rd Suite 1220, Schaumburg, IL 60173

Mailing Address

425 N Martingale Rd Suite 1220, Schaumburg, IL 60173

Phone number

(212) 388-6200

Established

Delaware since 10/21/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PKS HOLDINGS LLC	MEMBER
FEIGENBLATT, ELANA RACHEL	COO	4880188
GOULD, CRAIG MICHAEL	PRESIDENT/CEO	2367293
LEIBOWITZ, ROGER FARRELL	FINOP	2536523
SMITH, STEPHEN JOSEPH	OPTIONS PRINCIPAL	1123669
WEBB, WILLIAM DUDLEY JR	CHIEF COMPLIANCE OFFICER	1256777

Disclosures

Regulatory Event	2
Arbitration	1

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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Michael J. Fries

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael John Fries's CRS (Customer Relationship Summary).

Certified licenses

Experience

CABOT LODGE SECURITIES LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/3/2013

SIE

Date: 10/1/2018

Series 7

Date: 12/16/2013

FINRA

Current Firm

CABOT LODGE SECURITIES LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CABOT LODGE SECURITIES LLC

TRUST BUT VERIFY

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