Michael J. Wright
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 James Sompura Wright, CFP®, who also goes by Michael James Sompura, Michael James Wright, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 13 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2017
Experience
April 14, 2021 - October 9, 2023
LPL FINANCIAL LLC
March 22, 2021 - October 9, 2023
LPL FINANCIAL LLC
May 1, 2019 - April 7, 2020
WEST OAK CAPITAL, LLC
August 10, 2018 - December 13, 2018
ASSETMARK, INC.
August 10, 2018 - December 13, 2018
ASSETMARK BROKERAGE, LLC
September 9, 2015 - August 9, 2018
PLANNED ASSET MANAGEMENT
March 25, 2015 - October 20, 2015
INDEPENDENT FINANCIAL GROUP, LLC
March 24, 2015 - July 6, 2018
INDEPENDENT FINANCIAL GROUP, LLC
July 16, 2013 - March 4, 2015
COMMONWEALTH FINANCIAL NETWORK
July 15, 2013 - March 4, 2015
COMMONWEALTH FINANCIAL NETWORK
August 26, 2009 - November 22, 2011
HOUSEHOLDER GROUP FINANCIAL ADVISORS, LLC
August 21, 2009 - August 4, 2011
SECURITIES SERVICE NETWORK, LLC
August 1, 2006 - November 18, 2009
HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS
June 26, 2006 - July 27, 2009
OSAIC SERVICES, INC.
February 14, 2006 - May 24, 2006
BROKERSXPRESS LLC
May 21, 2003 - October 27, 2004
THE HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS
June 3, 2002 - March 19, 2004
SUNAMERICA SECURITIES, INC.
October 27, 1998 - May 31, 2002
LPL FINANCIAL 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 |
| 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.
