MS
Michael G. Steck
LPL ENTERPRISE
JOHNS CREEK, GA 30097
Some features on this profile are disabled
CRD#: 1187853
MS
Professional summary
Michael Gunther Steck is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Johns Creek, Georgia.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Michael has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Aetna Health Inc|Aetna Health Ins Co|Aetna Life Ins Co|American General Life Insur Co|Blue Cross & Blue Shield of GA Inc|Blue Cross Blue Shield Healthcare Plan of GA Inc|Corporate Health Ins Co|Greater GA Life Ins Co|Hartford Accident &Ind|Humana|Humana Dental Ins Co|Humana Employers Health Plan of GA|Provident Life & Accident Ins Co|Transamerica Life Ins Co|United Concordia|United Healthcare Ins Co|United Healthcare of GA Inc|Unum Life Ins Co of America CORNERSTONE FINANCIAL PARTNERS, LLC POSITION: Partner/Financial Professional NATURE: Insurance and Investments INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 12/01/2021 ADDRESS: 11300 Johns Creek Parkway, Suite 200, Johns Creek GA 30097, United States DESCRIPTION: sales and service of Insurance and Investments
CRS (Client Relationship Summary) - RIA
Click below to view Michael Gunther Steck's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Gunther Steck's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 11300 Johns Creek Pkwy Suite 200, Johns Creek, GA 30097Office #2: 3343 Peachtree Road, N.e. Suite 700, Atlanta, GA 30326RIA
BD
CRD#: 8733
JOHNS CREEK, GA
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 11300 Johns Creek Pkwy Suite 200, Johns Creek, GA 30097Office #2: 3343 Peachtree Road, N.e. Suite 700, Atlanta, GA 30326RIA
BD
CRD#: 8733
JOHNS CREEK, GA
Past
April 17, 2003 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Johns Creek, GA
Past
September 2, 1983 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Johns Creek, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/14/2024)
RR
Arizona(1/3/2025)
RR
California(11/14/2024)
RR
Florida(11/18/2024)
RR
Georgia(11/14/2024)
IAR
Georgia(11/14/2024)
RR
Maryland(11/14/2024)
RR
Massachusetts(11/14/2024)
RR
Missouri(11/14/2024)
RR
New Hampshire(11/14/2024)
RR
New York(11/14/2024)
RR
North Carolina(11/14/2024)
RR
South Carolina(11/14/2024)
RR
Tennessee(11/14/2024)
RR
Texas(11/14/2024)
IAR
Texas(11/14/2024)
RR
Utah(11/14/2024)
RR
Virginia(12/26/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
