MT
Michael J. Thompson
LPL ENTERPRISE
TROY, MI 48084
Some features on this profile are disabled
CRD#: 1725750
MT
Professional summary
Michael Jay Thompson is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Troy, Michigan.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 11 firms and has passed the Series 66, 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.
1. 06/12/2025 - Detroit Recovery Project Inc. - Non-Profit Board Member - NOT INV REL - Detroit, MI - Start Date 03/27/2024 - 2 HRS/MO | 0 HRS/MO DURING TRADING 2. 06/12/2025 - Operation HOPE - Speaker/ Seminar/ Workshops - INV REL - Clinton Township, MI - Start Date 09/19/2022 - 20 HRS/MO | 0 HRS/MO DURING TRADING 3. 06/12/2025 - MTC Consultants, LLC - Business Owner - NOT INV REL - Clinton Township, MI - Start Date 04/20/2020 - 5 HRS/MO | 0 HRS/MO DURING TRADING 4. 06/12/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - Clinton Township, MI - INV REL - Start Date 05/30/2025 - 160hrs/mth 5. 06/12/2025 - MICHAEL THOMPSON N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Clinton Township, MI - INV REL - Start Date 05/30/2025 - 160hrs/mth
CRS (Client Relationship Summary) - RIA
Click below to view Michael Jay Thompson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Jay Thompson'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
June 20, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 101 W Big Beaver Road Suite 705, Troy, MI 48084RIA
BD
CRD#: 8733
TROY, MI
Current
June 18, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 101 W Big Beaver Road Suite 705, Troy, MI 48084RIA
BD
CRD#: 8733
TROY, MI
Past
August 25, 2020 - February 9, 2023
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Southfield, MI
Past
August 17, 2020 - February 9, 2023
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Southfield, MI
Past
May 1, 2017 - November 1, 2018
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
DETROIT, MI
Past
March 25, 2015 - November 1, 2018
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
DETROIT, MI
Past
August 5, 2013 - September 8, 2014
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
STERLING HEIGHTS, MI
Past
January 3, 2012 - July 22, 2013
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
DETROIT, MI
Past
September 3, 2007 - December 31, 2011
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
DETROIT, MI
Past
June 11, 2002 - March 19, 2007
CAMBRIDGE GROUP INVESTMENTS, LTD.
BD
CRD#: 47399
LANSING, MI
Past
October 24, 2000 - November 6, 2000
LASALLE FINANCIAL SERVICES, INC.
BD
CRD#: 20373
CHICAGO, IL
Past
January 1, 1999 - April 7, 2000
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
May 26, 1998 - January 1, 1999
FIRST OF MICHIGAN CORPORATION
BD
CRD#: 311
DETROIT, MI
Past
July 24, 1997 - April 8, 1998
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
January 1, 1996 - January 15, 1998
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
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
Florida(9/26/2025)
RR
Michigan(6/20/2025)
IAR
Michigan(6/20/2025)
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)
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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.
Company Information
LPL ENTERPRISE, LLC
CRD#: 8733Troy, MI 48084TRUST BUT VERIFY
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