Michael Anthony Grau

Employer firm

Axiom Financial Strategies Group, LLC CRD 306618

$404M regulatory AUM 14 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• 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

• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  New Albany, IN
• 11/2016 → 02/2020
  Wells Fargo Clearing Services, Llc
  New Albany, IN
• 02/2020 → Present
  Axiom Financial Strategies Group, Llc
  New Albany, IN
• 10/2020 → Present
  Lion Street Financial, Llc
  New Albany, IN
• 11/2025 → Present
  Integrity Alliance, Llc.
  New Albany, IN
• 04/2020 → Present
  Spring Street Solutions, Llc
  New Albany, IN

Previous Registrations

• 2009-03-27 → 2020-02-28
  Wells Fargo Clearing Services, Llc
  New Albany, IN
  Louisville, KY
  New Albany, IN
• 2004-01-22 → 2009-04-15
  Citigroup Global Markets Inc.
  New Albany, IN
  New Albany, IN

Other Businesses

1. GRAU FAMILY HOLDINGS LLC POSITION: Owner NATURE: Owns Michael's share of Axiom Financial Strategies Group INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/08/2019 ADDRESS: 4000 Evergreen Rd, Crestwood KY 40014, United States DESCRIPTION: This is a holding company with no day-to-day operations. I monitor the operations of the one holding, Axiom Financial Strategies Group, LLC. 2. Spring Street Solutions, LLC: Title: Insurance Agent; Investment Related; Address: 101 W Spring Street, 5th Floor, New Albay, IN 47150; Nature of Business- Insurance; Hours Per Month: about 16 hours; Hours per month during security trading hours: about 14 hrs; Start Date 04/2020 3. Michael Grau is Dually Registered with Axiom Financial Strategies Group, LLC as an Investment Advisor Representative and Lion Street Financial, LLC as a Registered Representative. Mr. Grau has been dually registered since 10/2020. Approximately 10% of his time is spent as a Registered Representative and the balance as an Investment Advisor Representative.

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-03-02
• S63 Uniform Securities Agent State Law Examination
  2001-02-05

Designations

• Certified Financial Planner

Other Names

• Michael Anthony Grau