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Michael Rock

4 Years of Experience
Ada, MI
BrokerSells Insurance

Michael Rock is a registered investment advisor at USA Financial Securities Corporation, based in Ada, MI, with 4 years of industry experience. Their practice areas include Retirement Planning. Their firm serves 1,750 clients with $300M in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
141 advisors
Number of Clients
1,750 clients
Average Client Portfolio
$172K average
Assets Under Management
$301.5M

Fee Structure

Minimum Investment:$15K
Investment management only (planning not offered)

USA Financial Securities offers two advisory account management options:

  • Transaction-based pricing: You pay a lower custodial and administrative fee, plus individual transaction fees.
  • Asset-based pricing: You pay a higher custodial and administrative fee that includes transaction costs. This is best for clients who anticipate moderate to high levels of trading activity.

Representatives may also provide access to third-party money managers. The fees for these managers vary and are disclosed in their own brochures. Representatives may also offer customized financial strategies with varying fee structures, detailed in the representative's disclosure supplement. The maximum management fee charged by USA Financial Securities is 2.7%.

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Location

6020 East Fulton, Ada, MI, 49301

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Michael is a financial advisor doing business as Wolf Financial Advisory since 2021. He offers health and life insurance products, fixed and variable annuities, and tax preparation services to clients, dedicating about 10-20% of his time during trading hours.

Employment History
Current Registrations
USA Financial Securities Corporation
July 2022 - Present · 4 yrs
USA Financial Securities LLCBroker
February 2022 - Present · 4 yrs 5 mos
State Registrations7 states
FLILMIMNSCTXVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
Michael Rock - Financial Advisor | TrueAdvisor