Michael Bereznak

RUBICON ADVISORS

REDDING, CA 96002

CRD#: 8168239

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Professional summary

Michael Bereznak is a registered financial advisor currently at RUBICON ADVISORS located in Redding, California and LPL FINANCIAL LLC located in Chico, California.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2025. Michael has worked at 2 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Bereznak'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

March 4, 2026 - Present

RUBICON ADVISORS

Office #1: 1640 East Cypress Suite A, Redding, CA 96002

RIA

CRD#: 174447

REDDING, CA

Current

October 31, 2025 - Present

LPL FINANCIAL LLC

Office #1: 2639 Forest Ave Ste 140, Chico, CA 95928

RIA

CRD#: 6413

CHICO, 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".

RUBICON ADVISORS

RUBICON ADVISORS | RUBICON PARTNERS, INC | RUBICON PARTNERS | RUBICON ADVISORS, INC | RUBICON ADVISORS, GP

CRD#: 174447 / SEC#: 801-109012

RIA

Registered Investment Advisory firm - (1/27/2017 Approved)

Arizona

Registered Investment Advisory firm - (2/8/2017 Terminated)

California

Registered Investment Advisory firm - (3/10/2017 Terminated)

Idaho

Registered Investment Advisory firm - (2/8/2017 Terminated)

New York

Registered Investment Advisory firm - (2/8/2017 Terminated)

Washington

Registered Investment Advisory firm - (2/8/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

IAR

California
(3/4/2026)

California
(3/12/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/27/2026

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/30/2025

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/28/2025

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

RUBICON ADVISORS

RUBICON ADVISORS | RUBICON PARTNERS, INC | RUBICON PARTNERS | RUBICON ADVISORS, INC | RUBICON ADVISORS, GP

CRD#: 174447 / SEC#: 801-109012

RIA

Registered Investment Advisory firm - (1/27/2017 Approved)

Arizona

Registered Investment Advisory firm - (2/8/2017 Terminated)

California

Registered Investment Advisory firm - (3/10/2017 Terminated)

Idaho

Registered Investment Advisory firm - (2/8/2017 Terminated)

New York

Registered Investment Advisory firm - (2/8/2017 Terminated)

Washington

Registered Investment Advisory firm - (2/8/2017 Terminated)

PREMIUM

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Contact information

Main Address

1640 East Cypress Suite A, Redding, CA 96002

Mailing Address

Phone number

(530) 223-5357

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A - FIRM BROCHURE (SEC) (2/9/2026)

FORM ADV 2A APPENDIX 1 - WRAP FEE PROGRAM BROCHURE (2/9/2026)

Regulatory assets under management

Total Number of Accounts	2,219
AUM (Assets Under Management)	$ 420,724,128

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 Bereznak

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

RUBICON ADVISORS

LPL FINANCIAL LLC

Primary Firm SEC Registration

RUBICON ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 2/27/2026

Series 7TO

Date: 10/30/2025

SIE

Date: 3/28/2025

FINRA

Current Firm

RUBICON ADVISORS

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RUBICON ADVISORS

TRUST BUT VERIFY

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