MR
Michael L. Richardt
LPL ENTERPRISE
Indianapolis, IN 46240
Some features on this profile are disabled
CRD#: 4894637
MR
Professional summary
Michael Louis Richardt, who also goes by Michael L Richardt, Michael Louis Richardt, Mike Richardt, Mike L Richardt, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Indianapolis, Indiana.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Michael has worked at 12 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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
CRS (Client Relationship Summary) - RIA
Click below to view Michael Louis Richardt's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Louis Richardt'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®
NoneExperience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 8888 Keystone Crossing Suite 500, Indianapolis, IN 46240RIA
BD
CRD#: 8733
Indianapolis, IN
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 8888 Keystone Crossing Suite 500, Indianapolis, IN 46240RIA
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.
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
Indiana(11/14/2024)
IAR
Indiana(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/17/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
