MM
Michael J. Mahalich
CETERA INVESTMENT ADVISERS LLC
EDINA, MN 55439
Some features on this profile are disabled
CRD#: 6337448
MM
Professional summary
Michael Joseph Mahalich, who also goes by Michael Joseph Mahalich, Mikey Joseph Mahalich, Mikey Mahalich, Michael Mahalich, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Edina, Minnesota and CETERA ADVISORS LLC located in Edina, Minnesota.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Michael has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Joseph Mahalich | Mikey Joseph Mahalich | Mikey Mahalich | Michael Mahalich
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. NAME OF OTHER BUSINESS: FINANCIAL STRATEGIES GROUP, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 02/2024, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: MM-AS, LLC, INVESTMENT RELATED: NO, ADDRESS: 2850 FANNIN ST, HOUSTON, TX 77002, NATURE OF BUSINESS: REAL ESTATE, START DATE: 08/2022, POSITION/TITLE/RELATIONSHIP: CO-OWNER, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: SEARCH FOR REAL ESTATE PROPERTIES; 3. NAME OF OTHER BUSINESS: SWAN WEALTH MANAGEMENT, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 01/2024, POSITION/TITLE/RELATIONSHIP: CO OWNER/FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 120, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Michael Joseph Mahalich'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 7400 Metro Boulevard Suite 140, Edina, MN 55439RIA
CRD#: 105644
EDINA, MN
Current
February 8, 2024 - Present
CETERA ADVISORS LLC
Office #1: 7400 Metro Boulevard Suite 140, Edina, MN 55439BD
CRD#: 10299
EDINA, MN
Past
February 8, 2024 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
December 11, 2023 - January 22, 2024
CANTOR FITZGERALD INVESTMENT ADVISORS
RIA
CRD#: 159296
NEW YORK, NY
Past
May 3, 2023 - January 22, 2024
CANTOR FITZGERALD & CO.
BD
CRD#: 134
NEW YORK, NY
Past
August 24, 2021 - May 1, 2023
PACER FINANCIAL, INC.
BD
CRD#: 137040
MALVERN, PA
Past
March 9, 2021 - August 18, 2021
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
Fort Lauderdale, FL
Past
February 13, 2017 - January 14, 2021
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
FRANKLIN, TN
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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
Arizona(4/8/2024)
RR
Arkansas(4/8/2024)
RR
California(4/8/2024)
RR
Colorado(1/15/2025)
RR
Florida(4/8/2024)
RR
Georgia(4/8/2024)
RR
Idaho(4/8/2024)
RR
Illinois(5/15/2025)
RR
Indiana(4/8/2024)
RR
Minnesota(2/8/2024)
IAR
Minnesota(3/21/2024)
RR
North Dakota(4/8/2024)
RR
Ohio(10/17/2025)
RR
South Carolina(4/8/2024)
RR
Wisconsin(4/8/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/10/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
