MS
Mackenzi E. Springer
NOVEM GROUP
Rochester, NY 14625
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CRD#: 6939365
MS
Professional summary
Mackenzi Elizabeth Springer, AIF® is a registered financial advisor currently at NOVEM GROUP located in Rochester, New York and OSAIC WEALTH, INC. located in Rochester, New York.
Mackenzi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Mackenzi has worked at 3 firms and has passed the Series 63, Series 65, Series 7TO and SIE 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.
Novem Group-350 Linden Oaks Rochester, NY 14625 Yes-Investment Related Start Date 4/9/18 Investment Advisor Representative 160 Hours Devoted Per Month 160 hours Devoted per Month During Market Hours APFS Rochester Insurance Agent No-Investment Related Start Date: 1/20 Hours Devoted Per Month: 5 Hours Devoted per Month During Market Hours:5 OSAIC WEALTH, INC. Yes-Investment Related Start Date -10/2024 Registered Representative Hours Devoted Per Month: 35 Hours Devoted per Month During Market Hours: 35
CRS (Client Relationship Summary) - RIA
Click below to view Mackenzi Elizabeth Springer'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®
Experience
Current
March 14, 2019 - Present
NOVEM GROUP
Office #1: 350 Linden Oaks Suite 140, Rochester, NY 14625RIA
CRD#: 158964
Rochester, NY
Current
October 11, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 350 Linden Oaks Suite 140, Rochester, NY 14625RIA
BD
CRD#: 23131
ROCHESTER, NY
Past
December 9, 2019 - October 11, 2024
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
ROCHESTER, NY
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".
NG
NOVEM GROUP
AMERICAN ADVISORY GROUP | NOVEM GROUP | APFS WEALTH MANAGEMENT, INC. | APFS WEALTH MANAGEMENT, INC
CRD#: 158964 / SEC#: 801-72741
RIA
Registered Investment Advisory firm - (9/22/2011 Approved)Georgia
Registered Investment Advisory firm - (10/28/2014 Terminated)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
IAR
Arizona(12/8/2022)
IAR
California(3/14/2019)
RR
California(10/11/2024)
RR
Colorado(9/29/2025)
IAR
Florida(7/19/2021)
RR
Florida(10/11/2024)
IAR
Georgia(7/7/2021)
RR
Georgia(10/11/2024)
IAR
Illinois(11/4/2025)
RR
Indiana(10/11/2024)
IAR
Maryland(10/24/2022)
IAR
Massachusetts(12/13/2022)
RR
Massachusetts(10/11/2024)
IAR
New Hampshire(9/19/2023)
RR
New Hampshire(10/11/2024)
IAR
New York(10/22/2021)
RR
New York(10/11/2024)
IAR
North Carolina(4/1/2022)
RR
North Carolina(10/11/2024)
IAR
Ohio(8/6/2021)
RR
Ohio(10/11/2024)
IAR
Pennsylvania(4/26/2020)
RR
Pennsylvania(10/11/2024)
IAR
South Carolina(10/25/2022)
IAR
Texas(6/3/2021)
RR
Texas(10/11/2024)
IAR
Virginia(10/24/2022)
RR
Virginia(10/11/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/7/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NG
NOVEM GROUP
AMERICAN ADVISORY GROUP | NOVEM GROUP | APFS WEALTH MANAGEMENT, INC. | APFS WEALTH MANAGEMENT, INC
CRD#: 158964 / SEC#: 801-72741
RIA
Registered Investment Advisory firm - (9/22/2011 Approved)Georgia
Registered Investment Advisory firm - (10/28/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
350 Linden Oaks Suite 140, Rochester, NY 14625
Mailing Address
Phone number
(585) 348-9525
Established
Firm type
Fiscal year end
# of Employees
52
SEC notice filing (32 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 1,413,641,568 |
Red Flags
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Company Information
NOVEM GROUP
CRD#: 158964Rochester, NY 14625TRUST BUT VERIFY
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