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Michele Ann Steinberg

LPl Financial LLC

Chicago, IL

Studio City, CA

CRD 4523627

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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

AuthorityCategoryStatusDate
IL RA APPROVED 2023-11-06
TX RA APPROVED_RES 2015-10-16
CA RA APPROVED 2015-10-15
  • IL RA
    APPROVED
    Since 2023-11-06
  • TX RA
    APPROVED_RES
    Since 2015-10-16
  • CA RA
    APPROVED
    Since 2015-10-15

Branch Locations

420 West Grand Ave, Suite 1B, Chicago, IL 60654-5709 • United States

Studio City, CA • 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
OrganizationCityStateFromTo
Lpl Financial Llc Chicago IL 07/2008 Present
Previous Registrations
  • 2004-05-13 → 2006-11-15
    Lpl Financial Llc
    Glendale, CA
    Glendale, CA
  • 2002-07-03 → 2004-05-18
    Waddell & Reed
    Pasadena, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-06-26
  • S66 Uniform Combined State Law Examination
    2002-06-26
Other Names
  • Michele Ann Vander Ploeg
  • Michele Ann Vanderploeg

View on SEC IAPD

Nearby Firms

BROWNSON, REHMUS & FOXWORTH, INC.
PFINGSTEN PARTNERS, L.L.C.
GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Nearby Investors

James Michael Franch
HAROLD NELSON LEAVELL
CARLYLE KELLY MADDEN

Nearby Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL

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