ML
Michael L. Lallathin
FINANCIAL MANAGEMENT STRATEGIES
Akron, OH 44333
Some features on this profile are disabled
CRD#: 7353503
ML
Professional summary
Michael Lee Lallathin is a registered financial advisor currently at FINANCIAL MANAGEMENT STRATEGIES, INC. located in Akron, Ohio and CETERA INVESTMENT ADVISERS LLC located in Akron, Ohio.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Michael has worked at 3 firms and has passed the Series 66, 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.
1. NAME OF OTHER BUSINESS: CENTRUST WEALTH MANAGEMENT, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SECURITIES/FINANCIAL PLANNING BUSINESS POSITION/TITLE/RELATIONSHIP: FINANCIAL/ADMINISTRATIVE ASSISTANT START DATE: 5/2021 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: HELP OPEN ACCOUNTS, TAKE PHONE CALLS, HELP CLIENTS WHEN THEY NEED HELP, I HELP WITH THE 401K PLANS WE ARE ADVISORS ON, I RESEARCH STOCKS AND MUTUAL FUNDS FOR VICKI ELLINGER, AND HELP WITH FINANCIAL PLANNING/RETIREMENT PLANS THROUGH MONEYGUIDEPRO; 2. NAME OF OTHER BUSINESS: FINANCIAL MANAGEMENT STRATEGIES, INC - CRD# 120818; INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY SERVICES POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE; START DATE: 04/2022; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING AND ASSET MANAGEMENT;
CRS (Client Relationship Summary) - RIA
Click below to view Michael Lee Lallathin'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 1, 2022 - Present
FINANCIAL MANAGEMENT STRATEGIES, INC.
Office #1: 3200 W Market St Suite 201, Akron, OH 44333RIA
CRD#: 120818
Akron, OH
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3200 W Market St Ste 300, Akron, OH 44333RIA
CRD#: 105644
AKRON, OH
Current
February 15, 2022 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3200 W Market St Ste 300, Akron, OH 44333BD
CRD#: 13572
Akron, OH
Past
March 18, 2022 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
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
Colorado(8/31/2023)
RR
Florida(1/12/2023)
RR
North Carolina(8/16/2022)
RR
Ohio(3/18/2022)
IAR
Ohio(4/1/2022)
RR
South Carolina(1/23/2025)
RR
Texas(8/7/2023)
IAR
Texas(8/8/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/15/2022
General Securities 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Akron, OH 44333TRUST BUT VERIFY
Monitor Michael Lallathin
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
