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Michael Charles Wallblom

LPl Financial LLC

Seattle, WA

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2024-03-26
  • WA RA
    APPROVED
    Since 2024-03-26

Branch Locations

Seattle, WA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Seattle WA 02/2015 03/2024
Morgan Stanley Private Bank, National Association New York NY 04/2015 03/2024
Lpl Financial Llc San Diego CA 03/2024 Present
Morgan Stanley Private Bank, N.A New York NY 02/2021 Present
  • 02/2015 → 03/2024
    Morgan Stanley
    Seattle, WA
  • 04/2015 → 03/2024
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 03/2024 → Present
    Lpl Financial Llc
    San Diego, CA
  • 02/2021 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-07-06
S63 Uniform Securities Agent State Law Examination 1998-04-11
  • S65 Uniform Investment Adviser Law Examination
    2015-07-06
  • S63 Uniform Securities Agent State Law Examination
    1998-04-11
Other Names
  • Mike Wallblom
  • Michael C Wallblom

View on SEC IAPD

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