CM
Catheryn L. Makela
MAINSTAY CAPITAL MANAGEMENT
Grand Blanc, MI 48439
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CRD#: 6488302
CM
Professional summary
Catheryn Lee Makela, who also goes by Catheryn Lee Dajos, Kc Lee Dajos, Catheryn Lee Dajos-makela, Kc Lee Dajos-makela, Kc Lee Makela, is a registered financial advisor currently at MAINSTAY CAPITAL MANAGEMENT, LLC located in Grand Blanc, Michigan.
Catheryn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Catheryn has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Catheryn Lee Dajos | Kc Lee Dajos | Catheryn Lee Dajos-Makela | Kc Lee Dajos-Makela | Kc Lee Makela
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) 11/20/2018 - Old National Investments - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) 2) 1/8/2021 - Old National Bank - Investment Related - At Reported Business Location(s) - Financial Institution Duty - LPL Financial Advisor - Start Date: 1/4/2021 - 130 Hours Per Month/130 Hours During Securities Trading - Participate in the referral program by referring prospects for banking products. 3) 3/11/2021 - No Business Name - Not Investment Related - At Reported Business Location(s) - Other-Notary - Start Date: 4/8/2010 - 0 Hours Per Month/0 Hours During Securities Trading. 4) 3/20/2023 - No Business Name - Not Investment Related - At Reported Business Location(s) - Act in a Fiduciary Capacity - Agent of record - Start Date - 03/16/2023 - 1 Hours Per Month/1 Hours During Securities Trading 5) 04/28/2023 - No Business Name - Not Investment Related - Ann Arbor, MI - Act in a Fiduciary Capacity - Agent of record - Start Date - 04/26/2023 - 1 Hours Per Month/1 Hours During Securities Trading
CRS (Client Relationship Summary) - RIA
Click below to view Catheryn Lee Makela'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
January 11, 2024 - Present
MAINSTAY CAPITAL MANAGEMENT, LLC
Office #1: 10775 South Saginaw Bldg C, Suite F, Grand Blanc, MI 48439RIA
CRD#: 109528
Grand Blanc, MI
Past
November 19, 2019 - December 22, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
BRIGHTON, MI
Past
January 2, 2019 - December 22, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
BRIGHTON, MI
Past
May 27, 2015 - January 8, 2019
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
DAVISON, MI
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".
MC
MAINSTAY CAPITAL MANAGEMENT, LLC
MAINSTAY CAPITAL MANAGEMENT, LLC
CRD#: 109528 / SEC#: 801-58099
RIA
Registered Investment Advisory firm - (11/14/2000 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
Michigan(1/11/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/11/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
MC
MAINSTAY CAPITAL MANAGEMENT, LLC
MAINSTAY CAPITAL MANAGEMENT, LLC
CRD#: 109528 / SEC#: 801-58099
RIA
Registered Investment Advisory firm - (11/14/2000 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
10775 South Saginaw Bldg C, Suite F, Grand Blanc, MI 48439
Mailing Address
P.o. Box 487, Grand Blanc, MI 48480
Phone number
(866) 444-6246
Established
Firm type
Fiscal year end
# of Employees
34
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,455 |
| AUM (Assets Under Management) | $ 4,663,966,411 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/20/2024 | ||
| 10/23/2023 | ||
| 12/14/2022 |
Red Flags
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Company Information
MAINSTAY CAPITAL MANAGEMENT, LLC
CRD#: 109528Grand Blanc, MI 48439TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
