Michael S. Yawn

WATERLOO CAPITAL

ROGERS, AR 72758

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CRD#: 6824634

Professional summary

Michael Scott Yawn, who also goes by Michael Yawn, is a registered financial advisor currently at WATERLOO CAPITAL located in Rogers, Arkansas.

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 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Yawn

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.

INSURANCE LICENSED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Scott Yawn'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

November 10, 2023 - Present

WATERLOO CAPITAL

Office #1: 3614 W. Southern Hills Blvd Suite 102, Rogers, AR 72758

RIA

CRD#: 133705

ROGERS, AR

Past

June 27, 2023 - November 22, 2023

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

ROGERS, AR

Past

June 27, 2023 - November 22, 2023

EQUITABLE ADVISORS, LLC

CRD#: 6627

ROGERS, AR

Past

November 7, 2017 - June 20, 2023

ARVEST WEALTH MANAGEMENT

RIA

CRD#: 42057

Rogers, AR

Past

September 21, 2017 - June 20, 2023

ARVEST WEALTH MANAGEMENT

CRD#: 42057

Rogers, AR

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".

WATERLOO CAPITAL

CRD#: 133705 / SEC#: 801-63975

RIA

Registered Investment Advisory firm - (3/11/2005 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

Arkansas
(11/10/2023)

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 66

Date: 11/7/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/21/2017

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/20/2021

General Securities Principal Examination

Current Firm

WATERLOO CAPITAL

CRD#: 133705 / SEC#: 801-63975

RIA

Registered Investment Advisory firm - (3/11/2005 Approved)

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Contact information

Main Address

2801 Via Fortuna Suite 250, Austin, TX 78746

Mailing Address

Phone number

(512) 777-5900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WATERLOO CAPITAL WRAP FEE PROGRAM BROCHURE (7/29/2025)

WATERLOO CAPITAL PART 2A (7/29/2025)

Regulatory assets under management

Total Number of Accounts	6,775
AUM (Assets Under Management)	$ 1,686,618,820

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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Advisor Monitoring

Firm Stability Insights

Michael S. Yawn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Scott Yawn's CRS (Customer Relationship Summary).

Certified licenses

Experience

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

ARVEST WEALTH MANAGEMENT

ARVEST WEALTH MANAGEMENT

Primary Firm SEC Registration

WATERLOO CAPITAL

State Registrations and Notice Filings

Exams

Series 66

Date: 11/7/2017

SIE

Date: 10/1/2018

Series 7

Date: 9/21/2017

Series 24

Date: 9/20/2021

Current Firm

WATERLOO CAPITAL

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WATERLOO CAPITAL

TRUST BUT VERIFY

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