Michael L. Landauer
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 Laile Landauer was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1969. Michael had worked at 13 firms and has passed the Series 63, Series 7TO, SIE, Series 3 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2022 - November 14, 2023
LPL FINANCIAL LLC
June 7, 1993 - December 31, 2003
CETERA ADVISORS LLC
July 15, 1992 - March 17, 2022
CETERA ADVISORS LLC
March 13, 1992 - May 21, 1992
LPL FINANCIAL LLC
December 16, 1989 - May 21, 1992
LPL FINANCIAL LLC
March 29, 1988 - December 16, 1989
LINSCO FINANCIAL GROUP, INC.
December 24, 1987 - April 5, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
July 16, 1986 - December 24, 1987
FINANCIAL PLANNERS EQUITY CORPORATION
January 8, 1986 - May 27, 1986
GENESEE INVESTMENT CORPORATION
January 28, 1985 - October 7, 1985
ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.
September 18, 1984 - December 27, 1984
RICHEY, FRANKEL & COMPANY
February 24, 1978 - February 19, 1991
MORGAN STANLEY DW INC.
May 12, 1975 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
August 30, 1972 - June 14, 1975
BACHE & CO INCORPORATED
May 10, 1971 - September 1, 1972
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
May 12, 1969 - August 16, 1972
GOODBODY & CO. INCORPORATED
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 4/30/1969
Registered Representative ExaminationCurrent 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 |
| 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.
