Evan A. Mccormick

INVESTORS MOSAIC

DURHAM, NC

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CRD#: 6233081

Professional summary

Evan Alexander Mccormick, who also goes by Evan Mccormick, is a registered financial advisor currently at INVESTORS MOSAIC located in Durham, North Carolina.

Evan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Evan has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Evan Mccormick

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 Evan Alexander Mccormick'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

May 29, 2025 - Present

INVESTORS MOSAIC

RIA

CRD#: 168619

DURHAM, NC

Past

August 19, 2013 - December 31, 2024

INVESTORS MOSAIC

RIA

CRD#: 168619

DURHAM, 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".

INVESTORS MOSAIC

INVESTORS MOSAIC | INVESTORS MOSAIC, LLC. | INVESTORS MOSAIC, LLC

CRD#: 168619 / SEC#: 801-130393

RIA

Registered Investment Advisory firm - (5/31/2024 Approved)

North Carolina

Registered Investment Advisory firm - (7/31/2024 Terminated)

Texas

Registered Investment Advisory firm - (7/31/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

New York
(5/29/2025)

IAR

North Carolina
(5/29/2025)

IAR

Texas
(5/29/2025)

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 65

Date: 7/11/2013

Uniform Investment Adviser Law Examination

Current Firm

INVESTORS MOSAIC

INVESTORS MOSAIC | INVESTORS MOSAIC, LLC. | INVESTORS MOSAIC, LLC

CRD#: 168619 / SEC#: 801-130393

RIA

Registered Investment Advisory firm - (5/31/2024 Approved)

North Carolina

Registered Investment Advisory firm - (7/31/2024 Terminated)

Texas

Registered Investment Advisory firm - (7/31/2024 Terminated)

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Contact information

Main Address

Durham, NC

Mailing Address

Phone number

(617) 272-0006

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

INVESTORS MOSAIC BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	142
AUM (Assets Under Management)	$ 148,402,354

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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Evan A. Mccormick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Evan Alexander Mccormick's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVESTORS MOSAIC

INVESTORS MOSAIC

Primary Firm SEC Registration

INVESTORS MOSAIC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/11/2013

Current Firm

INVESTORS MOSAIC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INVESTORS MOSAIC

TRUST BUT VERIFY

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