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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 2026-03-30
MI RA APPROVED 2026-03-27
  • TX RA
    APPROVED_RES
    Since 2026-03-30
  • MI RA
    APPROVED
    Since 2026-03-27

Branch Locations

31700 Middlebelt Rd Ste 125, Farmington Hills, MI 48334 • United States

31700 Middlebelt Rd Ste 125, Farmington Hills, MI 48334 • United States

4707 Executive Dr, San Diego, CA 92121-3091 • 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
Maximus Wealth Management, Inc. Berkley MI 07/2008 Present
Lpl Financial, Llc Farmington Hills MI 03/2026 Present
Gwn Securities Farmington Hills MI 12/2010 03/2026
  • 07/2008 → Present
    Maximus Wealth Management, Inc.
    Berkley, MI
  • 03/2026 → Present
    Farmington Hills, MI
  • 12/2010 → 03/2026
    Gwn Securities
    Farmington Hills, MI
Previous Registrations
  • 2010-12-15 → 2026-04-01
    Palm Beach Gardens, FL
    Palm Beach Gardens, FL
    Farmington Hills, MI
    Grand Rapids, MI
  • 2010-06-24 → 2010-12-15
    Securities America Advisors, Inc.
    Berkley, MI
Other Businesses

1. 03/2026 - Referral Income -Referral Income - Inv Related - 1 Hour(s)/Month - 0 Hour(s) During Trading -Farmington Hills MI 48334 - OBA Start Date: 09/11/2012 2. 03/2026 - Giroux Pappas Trial Attorneys - Attorney/ Legal Services - Not Inv Related - 40 Hour(s)/Month - 30 Hour(s) During Trading - Farmington Hills MI 48334 - OBA Start Date: 03/01/2016 3. 03/2026 - Maximus Wealth Management - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hour(s)/Month - 130 Hour(s) During Trading - At Reported Business Location (s) - OBA Start Date: 3/27/2026 4.03/2026 - 45th Parallel Rental Properties Suttons Bay - Real Estate Rental- Inv Related - 15 Hour(s)/Month - 0 Hour(s) During Trading - Farmington Hills MI 48334 - OBA Start Date: 04/29/2022 5. 03/2026 - Andrew J McCulloch PC - Attorney/ Legal Services - Inv Related - 15 Hour(s)/Month - 14 Hour(s) During Trading - Farmington Hills MI 48334 - OBA Start Date: 09/11/2012 6. 03/2026 - Notary- Notary- Inv Related - 2 Hour(s)/Month - 1 Hour(s) During Trading - Farmington Hills MI 48334 - OBA Start Date: 06/10/2019 7. 03/2026 - Maximus Wealth Management- Non-Variable Insurance- Inv Related - 5 Hour(s)/Month - 5 Hour(s) During Trading - Farmington Hills MI 48334 - OBA Start Date: 03/31/2026

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-13
S63 Uniform Securities Agent State Law Examination 1996-11-21
  • S65 Uniform Investment Adviser Law Examination
    1999-12-13
  • S63 Uniform Securities Agent State Law Examination
    1996-11-21

View on SEC IAPD

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