Michael James Giongo

Employer firm

Mutual Advisors, LLC CRD 167658

$8.55B regulatory AUM 30 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
HOURLY CONSULTING

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

Current Employers

Mutual Advisors, Llc

9140 W Dodge Road Suite 230, Omaha, NE 68114 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2020-03-27

PA RA
APPROVED

Since 2020-03-27

Branch Locations

Spring City, PA • United States

9140 W Dodge Road Suite 230, Omaha, NE 68114 • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lincoln Financial Advisors Corp	Spring City	PA	05/2009	08/2018
Massmutual	Bala Cynwy	PA	09/2018	03/2020
Mml Investors Services	Bala Cynwyd	PA	09/2018	01/2020
Mutual Advisors, Llc.	Omaha	NE	03/2020	Present

05/2009 → 08/2018

Lincoln Financial Advisors Corp

Spring City, PA
09/2018 → 03/2020

Massmutual

Bala Cynwy, PA
09/2018 → 01/2020

Mml Investors Services

Bala Cynwyd, PA
03/2020 → Present

Mutual Advisors, Llc.

Omaha, NE

Previous Registrations

2018-10-26 → 2020-02-24

Mml Investors Services, Llc

Radnor, PA
2018-01-10 → 2018-08-21

Osaic Fa, Inc.

King Of Prussia, PA

Blue Bell, PA

Spring City, PA
2004-07-02 → 2006-12-31

Geneos Wealth Management, Inc.

King Of Prussia, PA

Pottstown, PA

Montgomeryville, PA

Other Businesses

1. ERX Wealth, LLC., Start Date: 11/26/2018, 140 Barton Drive., Spring City, PA 19475, LLC, Insurance Agency, Owner, Fixed Insurance products, operate, Fixed Life Insurance, Disability, LTC products, Not Investment Related, 30 hours per month, 1 hour per day during trading hours. 2. Merchant Advocate, Start Date: 10/08/2020m 281 NJ-34, Colts Neck, NJ 07722, LLC, Merchant accounts review service, Independent Sales Rep, Connecting with companies for review of merchant accounts, referred directly to associate at merchant advocate, Not Investment Related, 10 Hours per month, 30 Minutes per day during trading hours.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-12-27
S65	Uniform Investment Adviser Law Examination	1994-11-14
S63	Uniform Securities Agent State Law Examination	1994-09-22

S66 Uniform Combined State Law Examination

2017-12-27
S65 Uniform Investment Adviser Law Examination

1994-11-14
S63 Uniform Securities Agent State Law Examination

1994-09-22

View on SEC IAPD