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Michael John Emerson

LPl Financial LLC

Carteret, NJ

Hazlet, NJ

CRD 2772157

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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
TX RA APPROVED_RES 2017-11-02
NJ RA APPROVED 2013-11-01
  • TX RA
    APPROVED_RES
    Since 2017-11-02
  • NJ RA
    APPROVED
    Since 2013-11-01

Branch Locations

Carteret, NJ • United States

Hazlet, NJ • 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
Independent Sales Agent Manasquan NJ 11/1999 Present
Lpl Financial, Llc Hazlet NJ 10/2013 Present
  • 11/1999 → Present
    Independent Sales Agent
    Manasquan, NJ
  • 10/2013 → Present
    Lpl Financial, Llc
    Hazlet, NJ
Previous Registrations
Other Businesses

1. 10/31/2013: No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Time Spent 1% - LTC.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-10-26
S63 Uniform Securities Agent State Law Examination 1996-10-21
  • S65 Uniform Investment Adviser Law Examination
    2010-10-26
  • S63 Uniform Securities Agent State Law Examination
    1996-10-21

View on SEC IAPD

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