Michael G. Foley
CETERA INVESTMENT ADVISERS LLC
SCOTTSDALE, AZ 85253
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CRD#: 6519395
Professional summary
Michael Gabriel Foley, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Scottsdale, Arizona and CETERA WEALTH SERVICES, LLC located in Scottsdale, Arizona.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Michael has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) FINANCIAL MENTORING POSITION: Volunteer NATURE: Volunteer/Community Outreach INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 6 START DATE: 06/01/2017 ADDRESS: , Phoenix AZ , United States DESCRIPTION: Volunteer 2) THE CENTER FOR HUMANE LIVING POSITION: Advisory Board NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2016 ADDRESS: , Paradise Valley AZ , United States DESCRIPTION: Advisory Board 3) AMERICAN COLLEGE OF FINANCIAL SERVICES POSITION: Consultant NATURE: Consultant INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 3 START DATE: 10/01/2022 ADDRESS: 630 Allendale Rd`, Suite 400, King of Prussia PA 19406, United States DESCRIPTION: Advising and consulting the American College on topics relating to Student Loan counseling. I will be putting together update webinars and educational videos for advisors and borrowers. The aim is to help the American College with becoming more of a "go to" resource in the realm of student loans. All of my content will still run through compliance and await approval prior to ever being posted. 4) FAITH DRIVEN ENTREPRENEUR - GROUP LEADER POSITION: Volunteer NATURE: Volunteer/Community Outreach INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 02/03/2023 ADDRESS: 6720 N Scottsdale Rd Suite 290, Scottsdale AZ 85253, United States DESCRIPTION: I will be a group leader for Faith Driven Entrepreneur. We will meet monthly. This is a men's bible study group 5) NAME OF OTHER BUSINESS: MICHAEL FOLEY; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: REFERRAL AFFILITATE; START DATE: 10/2023; POSITION/TITLE/RELATIONSHIP: REFERRAL PARTNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: ASSIST CLIENTS IN REFINANCING THEIR STUDENT LOAN AND HELP FIND A REPUTABLE BANK; 6. NAME OF OTHER BUSINESS: "COW DOG THE WISER ADVISER - SAVING"; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: CHILDREN'S BOOK; START DATE: 11/2023; POSITION/TITLE/RELATIONSHIP: AUTHOR; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: WRITE & DISTRIBUTE CHILDREN'S BOOK; 7. NAME OF OTHER BUSINESS: HUMBLE WEALTH; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL AND INSURANCE SERVICES; START DATE: 10/2024; POSITION/TITLE/RELATIONSHIP: OWNER/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 AND INSURANCE SERVICES
CRS (Client Relationship Summary) - RIA
Click below to view Michael Gabriel Foley'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®
CFP®
Start date: 2019
Experience
Current
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 6720 N Scottsdale Road Suite 378, Scottsdale, AZ 85253RIA
CRD#: 105644
SCOTTSDALE, AZ
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 6720 N Scottsdale Road Suite 290, Scottsdale, AZ 85253BD
CRD#: 13572
Scottsdale, AZ
Past
October 18, 2016 - October 25, 2021
CRI SECURITIES, LLC
RIA
CRD#: 22589
Scottsdale, AZ
Past
October 4, 2016 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
Scottsdale, AZ
Past
August 11, 2016 - October 25, 2021
CRI SECURITIES, LLC
BD
CRD#: 22589
Scottsdale, AZ
Past
August 11, 2016 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
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".
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(8/10/2023)
IAR
Arizona(8/10/2023)
RR
California(8/10/2023)
RR
Colorado(8/10/2023)
RR
Indiana(5/12/2025)
RR
Iowa(9/18/2025)
RR
Massachusetts(8/27/2024)
RR
Michigan(8/10/2023)
RR
Nevada(8/10/2023)
RR
New Mexico(8/10/2023)
RR
New York(9/11/2023)
RR
North Carolina(8/10/2023)
RR
Ohio(9/8/2023)
RR
Oregon(8/10/2023)
RR
Pennsylvania(10/9/2024)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
Virginia(1/2/2025)
RR
Washington(8/10/2023)
RR
Wyoming(2/27/2025)
Exams
State Security Law Exam
General 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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.
