Michael J. Maisel

LEGACY FINANCIAL ADVISORS

Covington, KY 41011

Some features on this profile are disabled

CRD#: 7613652

Professional summary

Michael Jonathan Maisel, who also goes by Michael Maisel, is a registered financial advisor currently at LEGACY FINANCIAL ADVISORS, INC. located in Covington, Kentucky.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Michael has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Maisel

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Jonathan Maisel's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 10, 2024 - Present

LEGACY FINANCIAL ADVISORS, INC.

Office #1: 117 East Fourth Street, Covington, KY 41011

RIA

CRD#: 158675

Covington, KY

Past

November 29, 2023 - July 11, 2024

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

COVINGTON, KY

Past

November 29, 2022 - July 11, 2024

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

COVINGTON, KY

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".

LEGACY FINANCIAL ADVISORS, INC.

CRD#: 158675 / SEC#: 801-72637

RIA

Registered Investment Advisory firm - (8/2/2011 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.

Highlighted states indicate IAR registrations

IAR

Kentucky
(9/10/2024)

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: 11/22/2023

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/8/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/29/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 11/17/2022

Securities Industry Essentials Examination

Current Firm

LEGACY FINANCIAL ADVISORS, INC.

CRD#: 158675 / SEC#: 801-72637

RIA

Registered Investment Advisory firm - (8/2/2011 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

117 East Fourth Street, Covington, KY 41011

Mailing Address

Phone number

(859) 655-5225

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LEGACY FINANCIAL ADVISORS BROCHURE (3/12/2025)

Regulatory assets under management

Total Number of Accounts	3,515
AUM (Assets Under Management)	$ 1,255,617,352

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.

Similar Advisors

Jamie Powell

CAPITAL ADVISORY SERVICES, LLC

IAR

West Chester, OH

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael J. Maisel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Jonathan Maisel's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

LEGACY FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/22/2023

Series 63

Date: 12/8/2022

Series 7TO

Date: 11/29/2022

SIE

Date: 11/17/2022

Current Firm

LEGACY FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEGACY FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

Similar Advisors