Michael C. Innes

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CRD#: 7114287

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michael Charles Innes was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2020. Michael had worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

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.) Independent Insurance Agent; Investment Related; Bloomington, MN; LOA in Var Life & Var Annuities, Accident & Health, Casualty, Property, and Life; 0 hours/month

Blog Corner

CRS (Client Relationship Summary)

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

MINNEAPOLIS, MN

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".

SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC

INVESTMENT ADVISER SERVICES, LLC | SDW WEALTH ADVISORS | SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC

CRD#: 147384 / SEC#: 801-69248

RIA

Registered Investment Advisory firm - (6/12/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 5/1/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/21/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/9/2019

Securities Industry Essentials Examination

Current Firm

SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC

INVESTMENT ADVISER SERVICES, LLC | SDW WEALTH ADVISORS | SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC

CRD#: 147384 / SEC#: 801-69248

RIA

Registered Investment Advisory firm - (6/12/2008 Approved)

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Contact information

Main Address

50 South 6th Street, Suite 1405, Minneapolis, MN 55402

Mailing Address

Phone number

(612) 355-4360

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	1,978
AUM (Assets Under Management)	$ 644,418,641

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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Michael C. Innes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC

CRI SECURITIES, LLC

SECURIAN FINANCIAL SERVICES, INC.

CRI SECURITIES, LLC

SECURIAN FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/1/2020

Series 7TO

Date: 1/21/2020

SIE

Date: 8/9/2019

Current Firm

SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC

TRUST BUT VERIFY

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