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Michael Harvey Carley

LPl Financial LLC

Tucson, AZ

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-08-19
  • TX RA
    APPROVED_RES
    Since 2021-08-19

Branch Locations

Tucson, AZ • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Tucson AZ 01/2009 Present
  • 01/2009 → Present
    Lpl Financial
    Tucson, AZ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-08-14
S63 Uniform Securities Agent State Law Examination 1998-08-07
  • S65 Uniform Investment Adviser Law Examination
    1998-08-14
  • S63 Uniform Securities Agent State Law Examination
    1998-08-07

View on SEC IAPD

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