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RIA / WealthAdvisor18 years in industry

MICHAEL JOHN MCCORMICK

Advisor at MCCORMICK FINANCIAL ADVISORS, LLC

Bozeman, MT

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Search this name across graphsid dfx:ria:063c72ca-59dd-cf33-07b1-64382714412d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 1, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MCCORMICK FINANCIAL ADVISORS, LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 31, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Mar 31, 2008
First registration: Apr 1, 2008
Dual registered: no
Other names: MICHAEL J MCCORMICK
IAPD individual key: 5481003

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MCCORMICK FINANCIAL ADVISORS, LLC	State registered	Jun 16, 2017	n/a	yes	Bozeman, MT	Current employment
CASCADE FINANCIAL MANAGEMENT, INC.	Former SEC adviser	Jun 27, 2011	Jun 19, 2017	no	DENVER, CO\|DENVER, CO\|BOZEMAN, MT	Previous registration
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	Sep 11, 2009	Jun 29, 2011	no	BOZEMAN, MT\|BOZEMAN, MT	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Apr 1, 2008	Sep 11, 2009	no	BOZEMAN, MT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CASCADE FINANCIAL MANAGEMENT, INC.	MCCORMICK FINANCIAL ADVISORS, LLC	Jun 19, 2017	Jun 16, 2017	-3	Firm change	Other
STIFEL, NICOLAUS & COMPANY, INCORPORATED	CASCADE FINANCIAL MANAGEMENT, INC.	Jun 29, 2011	Jun 27, 2011	-2	Firm change	Other
UBS FINANCIAL SERVICES INC.	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Sep 11, 2009	Sep 11, 2009	0	Bulk transfer	Wirehouse to ibd

Relationships

Registered with (4)

→ MCCORMICK FINANCIAL ADVISORS, LLCRegistered adviserregistration: current employment
Jun 16, 2017 to presentfactForm ADV
→ CASCADE FINANCIAL MANAGEMENT, INC.Registered adviserregistration: previous registration
Jun 27, 2011 to Jun 19, 2017factForm ADV
→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: previous registration
Sep 11, 2009 to Jun 29, 2011factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Apr 1, 2008 to Sep 11, 2009factForm ADV

Dated events

No dated event names this entity yet.