MA
Michael R. Ashmore
RONDEIVU ADVISORY
Southport, CT 06890
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CRD#: 7558446
MA
Professional summary
Michael Radley Ashmore, who also goes by Michael Ashmore, is a registered financial advisor currently at RONDEIVU ADVISORY located in Southport, Connecticut and RONDEIVU SECURITIES, LLC located in Southport, Connecticut.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Michael has worked at 2 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Ashmore
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.
University of Waterloo (200 University Avenue West, Waterloo, Ontario, N2L 3G1 Canada) (a non-profit public research university). Where at least part of Mr. Ashmore's activities at the University of Waterloo are investment-related: Mr. Ashmore is one of 36 voting members on the Board of Governors for the University of Waterloo (starting in May 2019). The Board of Governors is responsible for the governance of the University including control of its property and revenues, the conduct of its business and affairs, except the matters that are assigned to the University's Senate. The Board conducts its business through committees that bring recommendations to full Board at regularly scheduled meetings. Mr. Ashmore is a member (since May 2020) and chair (since May 2022) of the Finance and Investment Committee, which is a committee of the Board of Governors. The Committee exercises oversight over the financial affairs of the University, including review of tuition increases and the annual operating budget recommendations. It also approves the appointment of investment fund managers and approves investment decisions for all investment funds except for pension investments. Mr. Ashmore's positions at the University of Waterloo are volunteer. Approximately 10 hours a month during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Radley Ashmore'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
August 16, 2023 - Present
RONDEIVU ADVISORY
Office #1: 354 Pequot Avenue, Southport, CT 06890RIA
CRD#: 325505
Southport, CT
Current
April 4, 2023 - Present
RONDEIVU SECURITIES, LLC
Office #1: 354 Pequot Avenue, Southport, CT 06890Office #2: 354 Pequot Avenue, Southport, CT 06890BD
CRD#: 321162
Southport, CT
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
Connecticut(4/5/2023)
IAR
Connecticut(8/16/2023)
RR
Florida(2/7/2024)
RR
Illinois(2/14/2024)
RR
New York(12/3/2023)
RR
Texas(12/7/2023)
RR
Virginia(1/2/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 4/4/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 8/10/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RA
RONDEIVU ADVISORY
RONDEIVU | RONDEIVU ADVISORY, LLC | RONDEIVU ADVISORY
CRD#: 325505 / SEC#:
Connecticut
Registered Investment Advisory firm - (8/16/2023 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
354 Pequot Avenue, Southport, CT 06890
Mailing Address
Phone number
(646) 759-1882
Established
Firm type
Fiscal year end
# of Employees
2
Red Flags
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Company Information
RONDEIVU ADVISORY
CRD#: 325505Southport, CT 06890TRUST BUT VERIFY
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