Michael T. Morrissey
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 Todd Morrissey, CFP®, who also goes by Mike Morrissey, Morrissey, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1999. Michael had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2003
Experience
June 28, 2011 - April 6, 2015
LPL FINANCIAL LLC
June 28, 2011 - April 6, 2015
LPL FINANCIAL LLC
April 7, 2011 - July 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
April 6, 2011 - July 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
July 6, 2009 - April 5, 2011
EDWARD JONES
July 6, 2009 - April 5, 2011
EDWARD JONES
October 1, 2008 - February 3, 2009
CUSO FINANCIAL SERVICES, L.P.
October 1, 2008 - February 3, 2009
CUSO FINANCIAL SERVICES, L.P.
February 5, 2008 - August 1, 2008
WELLS FARGO INVESTMENTS, LLC
January 30, 2008 - August 1, 2008
WELLS FARGO INVESTMENTS, LLC
August 15, 2005 - July 19, 2007
FIRST CITIZENS INVESTOR SERVICES, INC.
August 15, 2005 - July 19, 2007
FIRST CITIZENS INVESTOR SERVICES, INC.
July 8, 2003 - August 12, 2005
VALIC FINANCIAL ADVISORS, INC.
May 28, 1999 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
May 28, 1999 - August 12, 2005
VALIC FINANCIAL ADVISORS, INC.
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.
