MH
Michael J. Halloran
CETERA INVESTMENT ADVISERS LLC
STURBRIDGE, MA 01566
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CRD#: 6816784
MH
Professional summary
Michael James Halloran is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sturbridge, Massachusetts and CETERA WEALTH SERVICES, LLC located in Sturbridge, Massachusetts.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Michael has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, 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. NAME OF OTHER BUSINESS: JOYFUL WEALTH PLANNING; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 03/2024; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 30; BRIEF DESCRIPTION OF DUTIES: DBA FORFINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Michael James Halloran'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
March 27, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 198 Charlton Rd Suite 9, Sturbridge, MA 01566RIA
CRD#: 105644
STURBRIDGE, MA
Current
February 29, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 198 Charlton Rd Suite 9, Sturbridge, MA 01566BD
CRD#: 13572
Sturbridge, MA
Past
October 8, 2019 - April 5, 2022
MERCER GLOBAL ADVISORS INC.
RIA
CRD#: 147363
DENVER, CO
Past
November 8, 2018 - July 31, 2019
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
RIA
CRD#: 105790
BOSTON, MA
Past
September 27, 2017 - November 8, 2018
MANULIFE INVESTMENT MANAGEMENT (US) LLC
RIA
CRD#: 106435
Boston, MA
Past
July 13, 2017 - July 31, 2019
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
BD
CRD#: 28262
BOSTON, MA
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
Alabama(5/9/2025)
RR
Arizona(5/9/2025)
RR
Arkansas(5/9/2025)
RR
California(5/9/2025)
RR
Connecticut(4/4/2024)
RR
District of Columbia(5/9/2025)
RR
Florida(4/4/2024)
RR
Idaho(5/9/2025)
RR
Illinois(5/9/2025)
RR
Iowa(5/9/2025)
RR
Kansas(5/9/2025)
RR
Kentucky(5/9/2025)
RR
Maine(4/4/2024)
RR
Maryland(5/9/2025)
RR
Massachusetts(3/27/2024)
IAR
Massachusetts(4/18/2024)
RR
Michigan(5/9/2025)
RR
Minnesota(5/9/2025)
RR
Mississippi(5/9/2025)
RR
Montana(5/9/2025)
RR
New Hampshire(4/4/2024)
RR
New Jersey(5/9/2025)
RR
New Mexico(2/26/2025)
RR
New York(5/9/2025)
RR
North Carolina(6/5/2024)
RR
North Dakota(5/9/2025)
RR
Ohio(5/9/2025)
RR
Oregon(5/9/2025)
RR
Pennsylvania(4/4/2024)
RR
Rhode Island(4/4/2024)
RR
South Carolina(4/4/2024)
RR
Texas(8/5/2024)
IAR
Texas(8/5/2024)
RR
Utah(10/24/2024)
RR
Virginia(5/9/2025)
RR
Washington(5/14/2024)
RR
Wisconsin(5/9/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/29/2024
General Securities Representative ExaminationGeneral 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
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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.
