MC
Michael Curtis
LPL ENTERPRISE
ROCHESTER, NY 14626
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CRD#: 4448165
MC
Professional summary
Michael Curtis, CLU®, who also goes by Michael J Curtis, Michael J. Curtis, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Rochester, New York.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael J Curtis | Michael J. Curtis
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1)Name: Curtis Forestry Inv rel: N Add: At Residential Address Nature: Other - Timber Consultant Position: Ownership Start date: 09/2001 No. HR/MO: 1 No. HR/MO during sec trading: 0 Describe duties: To act as a consultant for Landowners who have an interest in selling their standing timber. I have not participated in a timber sale in several years. CONSULTING FORESTER POSITION: Forester NATURE: Forestry, Fishing and Agricultural Services INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2001 ADDRESS: 225 Scotch Pine Drive, Rochester NY 14616, United States DESCRIPTION: I provide consulting services for those wishing to provide forest materials on their wooded properties
CRS (Client Relationship Summary) - RIA
Click below to view Michael Curtis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Curtis's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 95 Canal Landing Blvd Suite 7, Rochester, NY 14626RIA
BD
CRD#: 8733
ROCHESTER, NY
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 95 Canal Landing Blvd Suite 7, Rochester, NY 14626RIA
BD
CRD#: 8733
ROCHESTER, NY
Past
March 1, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Rochester, NY
Past
June 30, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Rochester, NY
Past
November 26, 2019 - June 28, 2021
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
ROCHESTER, NY
Past
April 15, 2016 - November 7, 2019
BANKERS LIFE SECURITIES, INC.
BD
CRD#: 173962
PITTSFORD, NY
Past
July 18, 2014 - January 5, 2016
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
DEWITT, NY
Past
December 11, 2003 - July 7, 2014
NYLIFE SECURITIES LLC
BD
CRD#: 5167
FAIRPORT, NY
Past
October 4, 2001 - November 24, 2003
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
October 4, 2001 - November 24, 2003
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Maryland(11/14/2024)
RR
Nevada(11/14/2024)
RR
New York(11/14/2024)
IAR
New York(11/14/2024)
RR
North Carolina(11/14/2024)
RR
Pennsylvania(11/14/2024)
RR
Tennessee(5/23/2025)
RR
Virginia(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/3/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
Company Information
LPL ENTERPRISE, LLC
CRD#: 8733Rochester, NY 14626TRUST BUT VERIFY
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