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700 North Clayton Street, Wilmington, DE 19805 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2024-10-30 |
Branch Locations
200 E Big Beaver Rd, Ste 132, Troy, MI 48083 • United States
700 North Clayton Street, Wilmington, DE 19805 • United States
200 E Big Beaver Rd Ste 132, Troy, MI 48083 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2022-02-03 |
Branch Locations
Clawson, MI • United States
200 E Big Beaver Rd Ste 132, Troy, MI 48083 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Birmingham | MI | 04/2014 | 07/2018 |
| Royal Alliance Associates Inc | Troy | MI | 07/2018 | 01/2021 |
| Ameriprise Financial Services | Troy | MI | 01/2021 | 01/2022 |
| Cetera Advisor Networks | St Cloud | MN | 01/2022 | 08/2024 |
| Innovative Investment Services | Livonia | MI | 01/2022 | 03/2024 |
| M1 Capital Management | Bloomfield Hills | MI | 01/2022 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | 08/2024 |
| M1 Wealth Advisors | Novi | MI | 04/2024 | Present |
| Third Sigma Investment Advisors, Llc | Wilmington | DE | 10/2024 | Present |
1) NAME OF OTHER BUSINESS: M1 WEALTH ADVISORS, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 04/2024, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 50, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-06-13 |
| S63 | Uniform Securities Agent State Law Examination | 2011-05-17 |
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