Michael Flanagan
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 Flanagan was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1994. Michael had worked at 16 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2020 - October 8, 2020
LPL FINANCIAL LLC
November 9, 2017 - September 12, 2018
PENSERRA SECURITIES, LLC
March 15, 2016 - November 2, 2017
C. L. KING & ASSOCIATES, INC.
June 25, 2013 - July 9, 2015
BBVA SECURITIES INC.
November 7, 2012 - July 11, 2013
HAPOALIM SECURITIES USA, INC.
January 3, 2011 - June 4, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - June 4, 2012
WELLS FARGO CLEARING SERVICES, LLC
February 4, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
February 4, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
August 22, 2007 - February 5, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 16, 2007 - February 5, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 16, 2006 - March 22, 2007
SCOTT & STRINGFELLOW, LLC
September 1, 2005 - June 8, 2006
GLEACHER & COMPANY SECURITIES, INC.
May 31, 2005 - August 29, 2005
STONE & YOUNGBERG LLC
March 30, 2004 - April 29, 2005
CANTOR FITZGERALD & CO.
May 24, 2002 - September 16, 2003
UBS SECURITIES LLC
May 4, 2001 - May 31, 2002
ADVEST, INC.
April 22, 1997 - November 30, 2000
PRUDENTIAL EQUITY GROUP, LLC
March 8, 1994 - April 22, 1997
DB ALEX. BROWN LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
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 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| 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 | 214 |
| 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.
