Michael P. Day
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 Patrick Day was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2001. Michael had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
Experience
August 7, 2012 - May 24, 2017
LPL FINANCIAL LLC
August 3, 2012 - May 24, 2017
LPL FINANCIAL LLC
June 23, 2011 - July 13, 2012
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
November 26, 2010 - June 16, 2011
WALNUT STREET SECURITIES, INC.
November 26, 2010 - June 16, 2011
TOWER SQUARE SECURITIES, INC.
November 26, 2010 - June 16, 2011
NEW ENGLAND SECURITIES
November 26, 2010 - June 16, 2011
METLIFE INVESTORS DISTRIBUTION COMPANY
November 2, 2010 - June 16, 2011
MSI FINANCIAL SERVICES, INC.
September 12, 2008 - October 12, 2010
OSAIC FS, INC.
September 12, 2008 - October 12, 2010
OSAIC FA, INC.
September 12, 2008 - October 12, 2010
OSAIC FS, INC.
September 12, 2008 - October 12, 2010
OSAIC FA, INC.
November 9, 2007 - September 2, 2008
INVESTORS CAPITAL CORP.
November 6, 2007 - September 2, 2008
INVESTORS CAPITAL CORP.
July 24, 2006 - November 13, 2007
NYLIFE SECURITIES LLC
January 10, 2006 - April 12, 2006
INVESTORS CAPITAL CORP.
January 1, 2005 - December 31, 2005
BANCNORTH INVESTMENT GROUP, INC.
June 4, 2002 - December 31, 2005
CETERA INVESTMENT SERVICES LLC
January 4, 2002 - January 1, 2005
CETERA INVESTMENT SERVICES LLC
July 18, 2001 - December 21, 2001
NEW ENGLAND SECURITIES
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.
