MF
Michael J. Fetzner
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CRD#: 207024
MF
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Joseph Fetzner was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1973. Michael had worked at 9 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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. 6/24/2016- Michael J Fetzner - Investment Related - Home Based & Moulionborough, NH 03254 - Real Estate Rental - Started 6/1/1984 - Time Spent 1% - Own a boat slip on Lake Winnipesaukee.
2. 6/24/2016 - No Business Name - Not Investment Related - At Reported Business Location(s) - Notary - Started 1/1/86 - Time Spent 1% - Notary Public.
3. 6/24/2016 - Michael J Fetzner - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 1/1/1988 - 1 Hour Per Month/0 Hours During Securities Trading - Time Spent 2%.
4. 6/24/2016 - Fetzner Financial Services LLC - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Started 1/1/1986 - 4 Hours Per Month/1 Hour During Securities Trading - Time Spent 5%.
5. 7/30/2019 - No Business Name - Investment Related - 50 Nashua Road Ste 214 and Ste 213, Londonderry NH 03053 & Delray Beach, Florida 33483 - Real Estate Rental - Started 07/01/2019 - 2 Hours Per Month/0 Hours During Securities Trading - Rent out and collect rent. - Fix minor repairs and pay utility bills.
6. 8/14/2019 - Summit Financial Services - Investment Related - At Reported Business Location(s) - Insurance Agency - Started 06/24/2016 - 1 Hour Per Month/0 Hours During Securities Trading - Write Life Insurance Policies.
7. 2/11/2020 - Seacoast Financial Network - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/30/2020 - 35 Hours Per Month During Securities Trading.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
June 24, 2016 - January 9, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
LONDONDERRY, NH
Past
June 24, 2016 - January 9, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
LONDONDERRY, NH
Past
January 8, 1990 - June 28, 2016
OSAIC WEALTH, INC.
BD
CRD#: 23131
LONDONDERRY, NH
Past
December 8, 1989 - January 2, 1990
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
December 8, 1989 - January 2, 1990
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
November 19, 1989 - January 1, 1990
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
February 3, 1989 - March 30, 2011
SUMMIT FIANANCIAL SERVICES
RIA
CRD#: 118554
LONDONDERRY, NH
Past
January 12, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
January 8, 1973 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
BD
CRD#: 6320
Past
January 8, 1973 - February 23, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Past
January 8, 1973 - February 24, 1988
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
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".
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL
CRD#: 6413 / SEC#: 801-10970, 8-17668
RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 1/3/1973
Registered Representative ExaminationPrincipal/Supervisory Exam
Current Firm
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL
CRD#: 6413 / SEC#: 801-10970, 8-17668
RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)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
California since 11/15/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
37,893
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
