MG
Michael L. Groomes
ALTITUDE CAPITAL MANAGEMENT LLC
DAYTON, OH
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CRD#: 6761653
MG
Professional summary
Michael L Groomes is a registered financial advisor currently at ALTITUDE CAPITAL MANAGEMENT LLC located in Dayton, Ohio.
Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Michael has worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 6 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.
MLG FINANCIAL SERVICES LTD; INVESTMENT RELATED; DAYTON, OHIO, INSURANCE SALES INCLUDING LIFE, HEALTH, DISABILITY AND LONG TERM CARE; AGENT/OWNER; STARTED 4/2025; APPROXIMATELY 5 HOURS PER MONTH DEVOTED TO ACTIVITY DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Michael L Groomes'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
July 15, 2025 - Present
ALTITUDE CAPITAL MANAGEMENT LLC
RIA
CRD#: 329366
DAYTON, OH
Past
February 9, 2021 - August 2, 2024
NYLIFE SECURITIES LLC
BD
CRD#: 5167
DAYTON, OH
Past
June 30, 2017 - January 5, 2021
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
CINCINNATI, OH
Past
March 30, 2017 - January 5, 2021
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
CINCINNATI, OH
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".
AC
ALTITUDE CAPITAL MANAGEMENT LLC
ALTITUDE CAPITAL MANAGEMENT LLC | TUTTLE INSURANCE & FINANCIAL SERVICES | TA FINANCIAL STRATEGY | SAGE FINANCIAL | PNW RETIREMENT INCOME ADVISORS | NATOLI FINANCIAL PLANNING | GLASS WEALTH | FITZGERALD RETIREMENT STRATEGIES | FITZGERALD INCOME AND RETIREMENT PLANNING | CONCIERGE FINANCIAL GROUP | CAMPBELL ASSET MANAGEMENT | ASHMAC INVESTMENTS LLC | ANDERSON FINANCIAL, LLC
CRD#: 329366 / SEC#: 801-129287
RIA
Registered Investment Advisory firm - (1/2/2024 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
Ohio(7/15/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/22/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
AC
ALTITUDE CAPITAL MANAGEMENT LLC
ALTITUDE CAPITAL MANAGEMENT LLC | TUTTLE INSURANCE & FINANCIAL SERVICES | TA FINANCIAL STRATEGY | SAGE FINANCIAL | PNW RETIREMENT INCOME ADVISORS | NATOLI FINANCIAL PLANNING | GLASS WEALTH | FITZGERALD RETIREMENT STRATEGIES | FITZGERALD INCOME AND RETIREMENT PLANNING | CONCIERGE FINANCIAL GROUP | CAMPBELL ASSET MANAGEMENT | ASHMAC INVESTMENTS LLC | ANDERSON FINANCIAL, LLC
CRD#: 329366 / SEC#: 801-129287
RIA
Registered Investment Advisory firm - (1/2/2024 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2015 Grand Avenue Suite 100, Des Moines, IA 50312
Mailing Address
Phone number
(515) 207-3310
Established
Firm type
Fiscal year end
# of Employees
17
SEC notice filing (27 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 672 |
| AUM (Assets Under Management) | $ 49,400,000 |
Red Flags
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