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Michael Wayne Caulkins

LPl Financial LLC

San Jose, CA

CRD 2802195

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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 2018-10-30
CA RA APPROVED 2005-06-03
  • TX RA
    APPROVED_RES
    Since 2018-10-30
  • CA RA
    APPROVED
    Since 2005-06-03

Branch Locations

1777 Hamilton Ave Ste 1040, San Jose, CA 95125-5416 • 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 (F/K/A Linsco Private Ledger) Campbell CA 05/2005 Present
  • 05/2005 → Present
    Lpl Financial Llc (F/K/A Linsco Private Ledger)
    Campbell, CA
Other Businesses

(1) 11/12/2010 - DBA ONLY - SOLUTIONS WEALTH MANAGEMENT - TIME SPENT 5% - CAMPBELL, CA

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-06-02
S63 Uniform Securities Agent State Law Examination 1997-04-02
  • S65 Uniform Investment Adviser Law Examination
    2005-06-02
  • S63 Uniform Securities Agent State Law Examination
    1997-04-02

View on SEC IAPD

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Nearby Offices

J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
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