Michael John Stone

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2014 → 09/2022
  First Allied Securities, Inc.
  San Diego, CA
• 01/2015 → 11/2020
  First Allied Advisory Services, Inc.
  Chesterfield, MO
• 11/2020 → 11/2020
  First Allied Advisory Services
  Schaumburg, IL
• 09/2022 → Present
  Cetera Advisors Llc
  Fort Myers, FL
• 09/2020 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2015-01-02 → 2020-11-12
  First Allied Advisory Services, Inc.
  Ft. Myers, FL
• 2006-08-22 → 2014-12-23
  Osaic Wealth, Inc.
  New York, NY
  Fort Meyers, FL
• 2007-01-02 → 2010-12-14
  Freedom Advisors Tax And Financial Planning
  Ft. Myers, FL
  Ft. Myers, FL
  Ft. Myers, FL
• 2001-03-23 → 2006-09-05
  Ubs Financial Services Inc.
  Fort Myers, FL
  Ft. Myers, FL

Other Businesses

1.) FREEDOM TAX AND FINANCIAL; PARTNER; NON-CPA ACCOUNTING/TAX PREP; START DATE 12/3/2014; 4 HOURS PER MONTH. 2.) IRON MIKES HIGH PERFORMANCE; COACH; CONSULTING; START DATE 06/23/2015; 20 HOURS PER MONTH. 3.) Freedom Tax and Financial; Partner; DBA; Start date 12/3/2014; 40 hours per month. 4.) FREEDOM TAX AND FINANCIAL, LLC; DBA; FIXED LIFE AND HEALTH INSURANCE; START DATE: 02/14/2018; 4 HOURS A MONTH.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-30
• S63 Uniform Securities Agent State Law Examination
  1989-09-25

Other Names

• Mike J Stone