Michael Moffitt, financial advisor Creston IA
68 score

Michael Moffitt

CRD Number: 1388379
Current Firm: Advantage Investment Management, LLC

Michael Moffitt (CRD# 1388379) is an Investment Advisor Representative working at Advantage Investment Management, LLC in Creston, IA and has over 31 years of experience in the finance industry.

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Company Name Location Dates Years
Lpl Financial, LLC West Des Moines, IA Jul 2012 - Current 4
Advantage Investment Management LLC West Des Moines, IA Jan 2009 - Current 7
Cornerstone Financial Group West Des Moines, IA May 1988 - Current 28
Self Employed Kent, IA Jan 1984 - Current 32
National Planning Corporation Creston, IA Jun 2003 - Jul 2012 9
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1985
S65 NASAA Investment Advisors Law Examination Sep 1998
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Employer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Michael E. Moffitt
Phone Number: (641) 782-5577
Registered State(s):
  • IA
  • TX
By the Numbers
  • Total Assets Under Management
    564
    MILLIONS
  • Total Number of Accounts
    3,956
    ACCOUNTS
  • Average Account Value
    $142,513
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, FL, GA, IA, IL, IN, KS, KY, LA, MA, MI, MN, MO, MS, NC, NE, NH, NJ, NM, NV, NY, OH, OR, PA, SC, TN, TX, UT, VA, WA, WI

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BADGES
68
Verified Page
Data verified by both the advisor and the public regulatory data.

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