MC
Michael Cortes
CETERA INVESTMENT ADVISERS LLC
GREENWOOD VILLAGE, CO 80111
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CRD#: 7112197
MC
Professional summary
Michael Cortes, who also goes by Mike Cortes, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Greenwood Village, Colorado and CETERA INVESTMENT SERVICES LLC located in Greenwood Village, Colorado.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Michael has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Cortes
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) MUNDO REAL ESTATE LLC, ONLINE RETAIL CONSULTING, 100% OWNER, <1HR/WK 2) THE NETWORK, INC, LIMITED PARTNER, LUNCH MEETINGS, <3HRS/YR 3) QUETZAL GLOBAL DBA THE FITNESS XCHANGE, LIMITED PARTNER, GYM LIQUIDATIONS, BOOKKEEPING, LUNCH MEETINGS TO DISCUSS FINANCIALS, <20 HRS/YR 4) COLLEGE PLANNING SOFTWARE FROM COLLEGE FUNDING SOLUTIONS, INC, OWNER / SOLE PROPRIETOR, FAMILIES REQUEST INFORMATION ON COLLEGE PLANNING, PROVIDE THEM WITH SOFTWARE AND LICENSING TO HAVE CFS MAINTAIN ONGOING RELATIONSHIP WITH CLIENT 2) BOOKKEEPER FOR SPOUSE'S LEGAL PRACTICE, BALDWIN CORTES LLC, 2-3/HRS/WK;
CRS (Client Relationship Summary) - RIA
Click below to view Michael Cortes'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
April 15, 2021 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5299 Dtc Blvd Suite 800, Greenwood Village, CO 80111RIA
CRD#: 105644
GREENWOOD VILLAGE, CO
Current
March 1, 2021 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 5299 Dtc Blvd Suite 800, Greenwood Village, CO 80111BD
CRD#: 15340
Greenwood Village, CO
Past
July 27, 2019 - March 16, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
LAKEWOOD, CO
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(6/28/2023)
RR
Alaska(1/27/2023)
RR
Arizona(5/3/2022)
RR
California(5/3/2022)
RR
Colorado(3/1/2021)
IAR
Colorado(4/15/2021)
RR
Connecticut(5/3/2022)
RR
Florida(5/3/2022)
RR
Illinois(9/29/2021)
RR
Indiana(5/3/2022)
RR
Kansas(5/3/2022)
RR
Louisiana(7/2/2021)
RR
Michigan(5/10/2022)
RR
Missouri(6/25/2024)
RR
Montana(5/3/2022)
RR
Nebraska(5/3/2022)
RR
New Hampshire(5/3/2022)
RR
New Mexico(5/3/2022)
RR
North Dakota(2/14/2024)
RR
Ohio(5/4/2022)
RR
Oregon(5/3/2022)
RR
South Dakota(5/3/2022)
RR
Texas(9/29/2021)
IAR
Texas(9/29/2021)
RR
Utah(1/25/2024)
RR
Washington(5/3/2022)
RR
Wisconsin(3/1/2021)
RR
Wyoming(5/3/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/11/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 7/27/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
