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MF

Michele M. Farfan

ALERA INVESTMENT ADVISORS
Scottsdale, AZ 85254
Some features on this profile are disabled
CRD#: 6360070
MF

Professional summary

Michele Marie Farfan, who also goes by Michele Marie Ayala Santos, Michele Marie Ayala-santos, is a registered financial advisor currently at ALERA INVESTMENT ADVISORS, LLC located in Scottsdale, Arizona.

Michele is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Michele has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Michele Marie Ayala Santos | Michele Marie Ayala-Santos

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 Michele Marie Farfan'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 12, 2025 - Present

ALERA INVESTMENT ADVISORS, LLC

Office #1: 16220 N Scottsdale Rd Ste 250, Scottsdale, AZ 85254
RIA
CRD#: 287906
Scottsdale, AZ
Past

January 26, 2023 - September 13, 2024

WORLD INVESTMENT ADVISORS, LLC

RIA
CRD#: 208512
Tempe, AZ
Past

January 25, 2023 - September 13, 2024

PENSIONMARK SECURITIES, LLC

BD
CRD#: 283952
Tempe, AZ
Past

November 1, 2022 - January 23, 2023

PRINCIPAL ADVISED SERVICES

RIA
CRD#: 297324
Phoenix, AZ
Past

August 30, 2018 - November 1, 2022

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
PHOENIX, AZ
Past

August 10, 2018 - January 23, 2023

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
PHOENIX, AZ
Past

February 3, 2017 - June 8, 2018

MUTUAL OF AMERICA SECURITIES LLC

BD
CRD#: 27878
PHOENIX, AZ
Past

February 3, 2017 - June 8, 2018

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

BD
CRD#: 15356
PHOENIX, AZ
Past

January 19, 2016 - January 19, 2017

EDWARD JONES

RIA
CRD#: 250
PHOENIX, AZ
Past

December 2, 2015 - January 19, 2017

EDWARD JONES

BD
CRD#: 250
PHOENIX, AZ
Past

August 26, 2014 - November 24, 2015

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
SCOTTSDALE, AZ

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".
AI
ALERA INVESTMENT ADVISORS, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WILSON ALBERS | WATERFORD GROUP | WALSH & NICHOLSON | TRINITY ADVISORS GROUP | THE ASCENT GROUP | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | STRATEGIC RETIREMENT PLAN CONSULTANTS | JA COUNTER | DOROSHOW INSURANCE | CSNW BENEFITS | BRIO BENEFITS | BCG 401K ADVISORS | ARISTA CONSULTING | AMCORP | ALERA INVESTMENT ADVISORS, LLC | ALERA GROUP WEALTH SERVICES

CRD#: 287906 / SEC#: 801-111892

RIA
Registered Investment Advisory firm - (10/26/2017 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.

Highlighted states indicate IAR registrations

IAR
Arizona
(5/12/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/30/2015
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/31/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/26/2014
General Securities Representative Examination

Current Firm

AI
ALERA INVESTMENT ADVISORS, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WILSON ALBERS | WATERFORD GROUP | WALSH & NICHOLSON | TRINITY ADVISORS GROUP | THE ASCENT GROUP | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | STRATEGIC RETIREMENT PLAN CONSULTANTS | JA COUNTER | DOROSHOW INSURANCE | CSNW BENEFITS | BRIO BENEFITS | BCG 401K ADVISORS | ARISTA CONSULTING | AMCORP | ALERA INVESTMENT ADVISORS, LLC | ALERA GROUP WEALTH SERVICES

CRD#: 287906 / SEC#: 801-111892

RIA
Registered Investment Advisory firm - (10/26/2017 Approved)
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Contact information

Main Address
Three Parkway North Suite 500, Deerfield, IL 60015-2567
Mailing Address
Phone number
(847) 457-3000
Established
Firm type
Fiscal year end
# of Employees
88

SEC notice filing (40 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV 2A (5/1/2025)

Regulatory assets under management

Total Number of Accounts3,097
AUM (Assets Under Management)$ 3,572,112,624

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.

Company Information

ALERA INVESTMENT ADVISORS, LLC

CRD#: 287906Scottsdale, AZ 85254

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