Michael Gene Roughton

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/1989 → Present
  Prudential Insurance Company Of America
  Joplin, MO
• 08/1989 → 11/2024
  Pruco Securities, Llc.
  Joplin, MO
• 11/2024 → Present
  Lpl Enterprise, Llc
  Joplin, MO

Previous Registrations

• 2002-04-11 → 2024-11-14
  Pruco Securities, Llc.
  Joplin, MO
  Joplin, MO
  Joplin, MO
  St. Louis, MO

Other Businesses

1) 09/11/2024-Medicare sales- Non-Variable Insurance- educating clients on Medicare and selling supplement and PDP- INV Related- At Joplin, MO- Start date 01/01/2014- 8 HRS MTH- 8 HRS During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-22
• S63 Uniform Securities Agent State Law Examination
  1989-10-05