Michael Lewis Pritchard

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

Authority	Category	Status	Date
TX	RA	APPROVED	2018-05-01

TX RA
APPROVED

Since 2018-05-01

Branch Locations

28201 Sh 249, Tomball, TX 77375 • United States

32927 Fm 2978, Magnolia, TX 77354 • United States

11045 Fm 1960 West, Houston, TX 77065 • United States

1075 Augusta Dr, Houston, TX 77057 • United States

12334 Barker Cypress Road, Cypress, TX 77429 • United States

919 Avenue C, Katy, TX 77493 • United States

1330 Wirt Road, Suite T, Houston, TX 77055 • United States

3020 S Mason Road, Katy, TX 77450 • United States

899 Frostwood, Houston, TX 77024 • United States

4576 Research Forest Dr., The Woodlands, TX 77381 • 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
Capital One Investing, Llc	Conroe	TX	03/2015	04/2018
Capital One Advisors, Llc	Conroe	TX	09/2017	04/2018
Lpl Financial Llc	Houston	TX	05/2018	Present

03/2015 → 04/2018

Capital One Investing, Llc

Conroe, TX
09/2017 → 04/2018

Capital One Advisors, Llc

Conroe, TX
05/2018 → Present

Lpl Financial Llc

Houston, TX

Previous Registrations

2017-09-18 → 2018-05-02

Capital One Advisors, Llc

Conroe, TX

Mclean, VA
2008-04-23 → 2009-03-05

Citigroup Global Markets Inc.

Houston, TX

Other Businesses

1. 5/1/2018 - Amegy Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 5/17/2018 - ZB, N.A., DBA Wealth & Fiduciary Services - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Start Date: 05/03/2018 - 5 Hours Per Month/5 Hours During Securities Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-09-15

S66 Uniform Combined State Law Examination

2017-09-15

View on SEC IAPD