Michael F Kwak

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 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

• 11/2003 → Present
  Linsco Private Ledger
  Danver, CO

Other Businesses

1. 02/23/04 - OUTSIDE SALES OF NON-VARIABLE INSURANCE 2. 11/19/2010 - NON-VARIABLE INSURANCE, ASH BROKERAGE, 2%. 3. 5/24/2018 - pi Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date:05/17/2018 - 200 Hour(s) Per Month/6 Hour(s) During Trading.

Exams

• S66 Uniform Combined State Law Examination
  2002-05-21