Michael Groomes has been an investment adviser representative at Altitude Capital Management since July 2025, and is not listed among the firm’s executive officers or direct owners.
Altitude Capital Management LLC is a Des Moines, IA firm with $104M under management, 488 clients and 26 advisers across 28 offices, as of its October 2026 filing.
Michael Groomes’ longest registration was 3 years at Prudential Financial Planning Services (2017–2021). Before joining Altitude Capital Management in 2025, Michael Groomes was registered through Prudential Financial Planning Services.
- – present · 1 yearDayton, OH · Adviser representative · Firm CRD 329366
- Prudential Financial Planning Services– · 3 yearsCincinnati, OH · Adviser representative · Firm CRD 5685
Investment adviser representative registrations
Michael Groomes is registered as an investment adviser representative in Ohio, since July 2025.
- OhioSince 15 July 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 7TO | General Securities Representative Examination | 22 September 2020 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 2 March 2018 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 30 March 2017 |
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Michael L Groomes
- CRD
- 6761653
- Firm
- Altitude Capital Management · CRD 329366
- Office
- Dayton, OH
- Registration
- Investment adviser registration
- In the industry since
- April 2018
- Disciplinary history
- Not yet shown here · SEC record
Where does Michael Groomes work?
Michael Groomes is an investment adviser representative registered through Altitude Capital Management LLC since July 2025, and is not listed among the firm’s executive officers or direct owners.
Is Michael Groomes a financial advisor?
Yes. Michael Groomes has a current investment-adviser registration in Ohio, through Altitude Capital Management since July 2025.
How many years of experience does Michael Groomes have?
Michael Groomes has 8 years in the financial industry, since April 2018, across 2 adviser firms.
What exams has Michael Groomes passed?
Michael Groomes has passed 3 licensing exams: the Series 6, Series 63 and Series 7TO. The earliest, the Series 6, was passed in March 2017. FINRA credited Michael Groomes with the SIE, which began in October 2018.
Where did Michael Groomes work before Altitude Capital Management?
Before Altitude Capital Management, Michael Groomes was registered through Prudential Financial Planning Services, June 2017 to January 2021.
Where is Michael Groomes based?
Michael Groomes’ registered office is in Dayton, OH.
Is Michael Groomes registered with FINRA?
No. Michael Groomes has no current broker registration.
How can I verify Michael Groomes’ record?
Search CRD 6761653 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Michael Groomes’ full registration record.
