Michael A Wertheim

Current Employers

Employment History

• 10/2007 → Present
  Kestra Investment Services, Llc.
  Smithtown, NY
• 04/2016 → Present
  Kestra Advisory Services, Llc.
  Smithtown, NY
• 10/2007 → Present
  Mainstreet Financial Group
  Smithtown, NY

Other Businesses

Business Name: Newbrook Insurance Investment Related: Yes Address: 14 Roosevelt Ave Port Jefferson Station NY 11776 Nature of Business: Insurance Position, Title or Relationship: Other,Fixed Insurance Sales Start Date: 7/1/2013 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: I sell life and health insurance through this organizationBusiness Name: Kaplan MGT Investment Related: No Address: 312 Commack Rd Commack NY 11725 Nature of Business: Tax/Accounting Position, Title or Relationship: Employee Start Date: 2/1/2011 Hours per month: 21% - 30% (33 - 48 hours) Hours per month during trading hours: 11% - 20% (15 - 28 hours) Duties: Tax PreperationBusiness Name: Main Street Financial Group Investment Related: Yes Address: 312 Commack Rd Commack NY 11725 Nature of Business: Investment Advisory (RIA, IAR, Financial Planning, etc.) Position, Title or Relationship: Partner Start Date: 1/1/2003 Hours per month: 51% - 60% (81 - 96 hours) Hours per month during trading hours: 21% - 30% (29 - 42 hours) Duties: Proividing Financial Planning AdviceBusiness Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory servicesBusiness Name: Michael A Wertheim Investment Related: Yes Address: 312 Commack Road Commack NY 11725 Nature of Business: Real Estate Position, Title or Relationship: owner Start Date: 1/1/2017 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: I own and run the rental propertyBusiness Name: Aussie Inc Investment Related: No Address: 5 SHetland Lane Saint James NY 11780 Nature of Business: Real Estate Position, Title or Relationship: Owner Start Date: 1/1/2018 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Building upkeep and oversightBusiness Name: National Life Group Investment Related: Yes Address: 51 E Main St Smithtown NY 11787 Nature of Business: Insurance Position, Title or Relationship: Field Rep Start Date: 1/18/2019 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 11% - 20% (15 - 28 hours) Duties: I'm using National Life to explore other fixed life insurance options for my clientsBusiness Name: Penn Mutual Investment Related: No Address: 51 E Main St Smithtown NY 11787 Nature of Business: Insurance Position, Title or Relationship: Sales Rep Start Date: 2/5/2021 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Sell Life Insurance

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-10
• S63 Uniform Securities Agent State Law Examination
  1998-12-09