Michael Sterling Madden

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:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2022-01-05
NY	RA	APPROVED	2021-12-13

TX RA
APPROVED

Since 2022-01-05
NY RA
APPROVED

Since 2021-12-13

Branch Locations

324 S Service Rd Ste 110, Melville, NY 11747 • United States

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

324 South Service Rd. Ste 110, Melville, NY 11743 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Massmutual Life Insurance Co	Melville	NY	02/2007	12/2021
Mml Investors Services, Llc	Melville	NY	02/2007	12/2021
Lpl Financial Llc	Huntington	NY	12/2021	Present

02/2007 → 12/2021

Massmutual Life Insurance Co

Melville, NY
02/2007 → 12/2021

Mml Investors Services, Llc

Melville, NY
12/2021 → Present

Lpl Financial Llc

Huntington, NY

Previous Registrations

2017-01-12 → 2021-12-31

Mml Investors Services, Llc

Melville, NY

Other Businesses

1)12/2021- The Sterling Wealth Group, LLC- DBA for LPL Business (entity for LPL business)- inv. related- Melville, NY 2) 12/2021- Melville, NY - Non-Variable Insurance- Agent selling Life, LTC, Disability, Fixed Annuities- inv. related- Melville, NY- start dat 12/2021

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-04-25

S66 Uniform Combined State Law Examination

2002-04-25

View on SEC IAPD