Mike Scott Sheets

Current Employers

Employment History

• 04/2007 → Present
  Lpl Financial Llc
  Irvine, CA
• 10/2015 → Present
  Provence Registered Investment Advisor
  Irvine, CA
• 12/2024 → Present
  Independent Advisor Alliance
  Charlotte, NC

Previous Registrations

• 2016-01-26 → 2025-03-28
  Provence Wealth Management Group
  Irvine, CA
• 2005-03-11 → 2007-05-21
  Ameriprise Financial Services, Llc
  Irvine, CA
  Glendale, CA

Other Businesses

1. 12/19/07: PROVENCE WEALTH-Non-Variable Insurance-At Rep Bus Loc(s)- 5% OF TIME SPENT 2. 12/19/07: NON-VARIABLE INSURANCE DBA - PROVENCE WEALTH MANAGEMENT- 25% OF TIME SPENT - At Rep Bus Loc(s) 3. 09/30/08: PROVENCE WEALTH - NON-VARIABLE INSURANCE DBA - MICHAEL SCOTT SHEETS AND ASSOCIATES - 5% OF TIME SPENT - At Rep Bus Loc(s) 4. 2/09/10: PROVENCE WEALTH MANAGEMENT GROUP - NON-VARIABLE INSURANCE DBA -- 5% OF TIME SPENT - At Rep Bus Loc(s) 5. 11/30/16 - Provence Registered Investment Advisor - Inv Rel - Registered Investment Advisor Hybrid - At Rep Bus Loc(s) - Start Date:2/16/16 - 80 Hrs/Mth/During Trading- I provide investment advisory services through Provence Registered Investment Advisor, an independent investment advisor firm. I started this business activity in 2/2016. I expect to spend approximately 80 hours per month on this activity. Please see the advisory firm's Form ADV.. 6. 5/29/18 - Provence Wealth Management Group - InvRel - Registered Investment Advisor DBA - At Rep Bus Loc(s) - Start Date:12/15/16 - 40 Hrs/Mth/ During Trading-I provide investment advisory services through Provence Wealth Managment Group, an independent investment advisor firm. I started this business activity in 12/15/2016. I expect to spend approximately 40 hours per month on this activity. Please see the Form ADV.. 7. 7/31/20 - Brighton Capital - Not Inv Rel - Los Angeles, CA - For-Profit Board Member - Started 1/15/20 - 1 Hr a Mth/0 Hrs During Trading 8. 2/2/22 - PWMG - Inv Rel - At Rep Bus Loc(s) - DBA for LPL Business (entity for LPL business) - Start Date: 2/1/22 - 0 Hrs a Mth/During Trading 9. 2/10/22 - PWMG Tech, LLC - Inv Rel - At Rep Bus Loc(s) - DBA for LPL Business (entity for LPL business) - Start Date: 12/1/21 - 0 Hrs a Mth/During Trading 10. 2/10/22 - Provence Group - Inv Rel - At Rep Bus Loc(s) - DBA for LPL Business (entity for LPL business) - Start Date: 2/1/22 - 0 Hrs a Mth/During Trading 11. 9/21/22 - Paets Partners, LLC - Not Inv Rel- At Rep Bus Loc(s) - Business Entity For Tax/Investment Purposes Only - Start Date - 9/7/22 - 0 Hrs a Mth/During Trading 12. 3/11/25 - Provence Wealth Management Group - Inv Rel- At RepBusLoc(s)- DBA for LPL Business (entity for LPL business)- Start Date 1/1/25 -0 Hrs/Mth/During Trading 13. 3/13/25- PWMG, LLC- Inv Rel- At RepBusLoc(s)- DBA for LPL Business (entity for LPL business)- Start Date 3/1/25- 25 Hrs/Mth- 6 Hrs During Trading 14. 3/13/25- Provence Wealth Management Group- Inv Rel- At RepBusLoc(s)- DBA for LPL Business (entity for LPL business) - Start Date 3/1/25- 160 Hrs/Mth- 6 Hrs During Trading 15. 4/23/25- Provence Wealth Management Group- Registered Investment Advisor DBA- IAR- INV REL- At Rep Bus Loc(s)- Start 1/1/25- 160 hrs a mth/ 15 hrs during trading 16. 4/23/25- Independent Advisor Alliance, LLC- Registered Investment Advisor Hybrid- IAR- INV REL- At Rep Bus Loc(s)- Start 1/1/25- 160 hrs a mth/ 15 hrs during trading-I provide investment advisory services through Independent Advisor Alliance, LLC, an independent investment advisor firm. I started this business activity in 1/2025. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV 17. 04/29/2025 - PWMG, LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - 160 Hrs/Mth - 6 Hrs During Trading - Start Date:03/01/2025 18) 05/13/2025 - Provence Wealth Management Group - Investment Related - Registered Investment Advisor DBA - At Reported Business Location(s) - 160 Hrs/Mth - 6 Hrs During Trading - Start Date:03/01/2025 19) 10/29/2025-Mike Sheets- Other - Financial Planning Author- Not INV Related- At San Juan Capistrano- Start date 10/15/2025- 1 Hour Per Month

Exams

• S66 Uniform Combined State Law Examination
  2005-03-09

Designations