Michael Dale Milton

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2016-11-15

CA RA
APPROVED

Since 2016-11-15

Branch Locations

39150 Fremont Blvd Fl 4, Fremont, CA 94538 • 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

Organization	City	State	From	To
Fremont Bank	Fremont	CA	05/2015	Present
Sorrento Pacific Financial, Llc	San Diego	CA	05/2015	11/2016
Lpl Financial, Llc	Fremont	CA	11/2016	Present

05/2015 → Present

Fremont Bank

Fremont, CA
05/2015 → 11/2016

Sorrento Pacific Financial, Llc

San Diego, CA
11/2016 → Present

Lpl Financial, Llc

Fremont, CA

Previous Registrations

2015-05-22 → 2016-11-15

Sorrento Pacific Financial, Llc

San Francisco, CA
2011-01-03 → 2015-04-15

Wells Fargo Clearing Services, Llc

Walnut Creek, CA

San Jose, CA

San Jose, CA

Walnut Creek, CA

Union City, CA

Walnut Creek, CA
2009-08-07 → 2011-01-03

Wells Fargo Investments, Llc

Oakland, CA

Walnut Creek, CA

Walnut Creek, CA

Other Businesses

1. 11/15/2016 - Fremont Bank - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Director Branch Banking - Started 04/13/2015 - 80 Hours Per Month/4 Hours During Securities Trading - Time Spent 50% - Responsible for oversight of 9 bank locations.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-08-06

S66 Uniform Combined State Law Examination

2009-08-06

Other Names

Mike Milton

View on SEC IAPD