Michael S. Cermak

PROFFITT & GOODSON

Knoxville, TN 37919-6424

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CRD#: 6542322

Professional summary

Michael Stephen Cermak is a registered financial advisor currently at PROFFITT & GOODSON INC. located in Knoxville, Tennessee.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Michael has worked at 1 firm and has passed the Series 65 exam.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Stephen Cermak'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

August 18, 2015 - Present

PROFFITT & GOODSON INC.

Office #1: 4800 Old Kingston Pike, Ste 200, Knoxville, TN 37919-6424

RIA

CRD#: 105278

Knoxville, 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".

PROFFITT & GOODSON INC.

CRD#: 105278 / SEC#: 801-28292

RIA

Registered Investment Advisory firm - (11/7/1986 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

Tennessee
(8/18/2015)

IAR

Texas
(3/20/2022)

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: 8/18/2015

Uniform Investment Adviser Law Examination

Current Firm

PROFFITT & GOODSON INC.

CRD#: 105278 / SEC#: 801-28292

RIA

Registered Investment Advisory firm - (11/7/1986 Approved)

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Contact information

Main Address

4800 Old Kingston Pike, Ste 200, Knoxville, TN 37919-6424

Mailing Address

P.o. Box 11629, Knoxville, TN 37939-1629

Phone number

(865) 584-1850

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROFFITT & GOODSON FIRM DISCLOSURE BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	838
AUM (Assets Under Management)	$ 680,169,650

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2024	Cover Page	Report
10/20/2023	Cover Page	Report
08/26/2022	Cover Page	Report

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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Michael S. Cermak

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Stephen Cermak's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROFFITT & GOODSON INC.

Primary Firm SEC Registration

PROFFITT & GOODSON INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/18/2015

Current Firm

PROFFITT & GOODSON INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PROFFITT & GOODSON INC.

TRUST BUT VERIFY

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