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MR

Michael L. Richardt

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CRD#: 4894637
MR
Michael Louis Richardt

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 Louis Richardt, who also goes by Michael L Richardt, Michael Louis Richardt, Mike Richardt, Mike L Richardt, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2006. Michael had worked at 12 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 7 exams.

Aliases

Michael L Richardt | Michael Louis Richardt | Mike Richardt | Mike L Richardt

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) 11/18/2024 - United HealthCare - Source of income: United HealthCare, sell Medicare, dental, vision, hearing insurance - Non-Variable Insurance - Inv Related - At Indianapolis, IN - Start Date 10/17/2022 - 1hrs/mth - 0hrs/mth During trading 2) 11/18/2024 - The Guardian Life Insurance Company - Offer Non-Variable Insurance, Whole Life, Disability and Health Insurance - Non-Variable Insurance Commission Trails - Inv Related - At Indianapolis, IN - Start Date 08/23/2023 - 0hrs/mth - 0hrs/mth During trading

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 14, 2024 - July 23, 2026

LPL ENTERPRISE, LLC

RIA
CRD#: 8733
INDIANAPOLIS, IN
Past

November 14, 2024 - July 23, 2026

LPL ENTERPRISE, LLC

BD
CRD#: 8733
INDIANAPOLIS, IN
Past

May 20, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
Fishers, IN
Past

March 6, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
Fishers, IN
Past

January 1, 2020 - January 2, 2024

ASSET MANAGEMENT STRATEGIES, INC.

RIA
CRD#: 135173
LAFAYETTE, IN
Past

May 16, 2018 - November 4, 2019

ALLSTATE FINANCIAL ADVISORS, LLC

RIA
CRD#: 109524
Noblesville, IN
Past

May 16, 2018 - November 4, 2019

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
NOBLESVILLE, IN
Past

March 20, 2018 - May 9, 2018

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
INDIANAPOLIS, IN
Past

October 1, 2013 - October 31, 2017

SHEAFF BROCK INVESTMENT ADVISORS, LLC

RIA
CRD#: 118739
INDIANAPOLIS, IN
Past

January 22, 2013 - July 25, 2013

EDWARD JONES

RIA
CRD#: 250
INDIANAPOLIS, IN
Past

January 22, 2013 - July 25, 2013

EDWARD JONES

BD
CRD#: 250
INDIANAPOLIS, IN
Past

December 7, 2009 - October 30, 2012

PLANNED INVESTMENT CO., INC.

RIA
CRD#: 3050
INDIANAPOLIS, IN
Past

November 15, 2007 - October 30, 2012

PLANNED INVESTMENT CO., INC.

BD
CRD#: 3050
INDIANAPOLIS, IN
Past

January 10, 2007 - August 2, 2007

NATCITY INVESTMENTS, INC.

BD
CRD#: 17490
FISHERS, IN
Past

February 16, 2006 - July 5, 2006

NEW ENGLAND SECURITIES

BD
CRD#: 615
INDIANAPOLIS, IN
Past

January 7, 2006 - February 21, 2006

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/11/2018
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/15/2008
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/17/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/20/2018
General Securities Representative Examination

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)

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
LPL HOLDINGS, INC.MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAKCHIEF EXECUTIVE OFFICER. PRESIDENT5097259
MALFITANO, STEVEN THOMASPRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP3178848
MORNINGSTAR, MATTHEW EDWINCHIEF LEGAL OFFICER2510742
SHEEHAN, RICHARD STEVENSVP, CHIEF COMPLIANCE OFFICER3096567

Regulatory assets under management

Total Number of Accounts114,002
AUM (Assets Under Management)$ 18,862,098,900

Disclosures

Regulatory Event3

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
06/25/2025
Cover Page
Report

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#: 8733

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