Michael J. Brayton

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CRD#: 815924

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 John Brayton, who also goes by Mike Brayton, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1975. Michael had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mike Brayton

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 3, 2003 - July 1, 2016

STEBEN & COMPANY, LLC

CRD#: 117808

EXCELSIOR, MN

Past

June 6, 2000 - December 13, 2002

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

Past

October 16, 1993 - March 8, 2000

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

June 2, 1987 - October 22, 1993

PALMAS INVESTMENTS

CRD#: 19471

WESTBORO, MA

Past

January 5, 1987 - May 14, 1987

GORDIAN SECURITIES, INC.

CRD#: 14922

Past

January 11, 1984 - November 10, 1986

ANGELES SECURITIES CORPORATION

CRD#: 8083

Past

December 4, 1975 - January 17, 1984

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

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".

STEBEN & COMPANY, LLC

STEBEN & COMPANY, INC. | STEBEN & COMPANY, LLC

CRD#: 117808 / SEC#: 801-64686, 8-53614

RIA

Registered Investment Advisory firm - SEC (9/13/2005 Approved)

Terminated by SEC on 02/06/2021

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 65

Date: 4/26/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/24/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/1/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/15/2003

National Commodity Futures Examination

Principal/Supervisory Exam

Series 00

Date: 11/26/1975

General Securities Principal Examination

Current Firm

STEBEN & COMPANY, LLC

STEBEN & COMPANY, INC. | STEBEN & COMPANY, LLC

CRD#: 117808 / SEC#: 801-64686, 8-53614

RIA

Registered Investment Advisory firm - SEC (9/13/2005 Approved)

Terminated by SEC on 02/06/2021

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Contact information

Main Address

687 Excelsior Blvd., Excelsior, MN 55331

Mailing Address

687 Excelsior Blvd., Excelsior, MN 55331

Phone number

(952) 767-6900

Established

Maryland since 10/31/2019

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Latest Form ADV

Part 2 Brochures

STEBEN & CO LLC PART II 2025 (3/19/2025)

Direct owners and executive officers

Name	Position	CRD#
KINZIE, KEVIN MICHAEL	CEO CCO	4384324

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 108,117,452

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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Firm Stability Insights

Michael J. Brayton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SEI INVESTMENTS DISTRIBUTION CO.

RAYMOND JAMES & ASSOCIATES, INC.

PALMAS INVESTMENTS

GORDIAN SECURITIES, INC.

ANGELES SECURITIES CORPORATION

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

STEBEN & COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/26/1994

Series 63

Date: 5/24/1983

SIE

Date: 7/1/2016

Series 3

Date: 4/15/2003

Series 00

Date: 11/26/1975

Current Firm

STEBEN & COMPANY, LLC

Contact information

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

STEBEN & COMPANY, LLC

TRUST BUT VERIFY

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