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Adam Wayne Fliehman

LPl Financial LLC

Rockford, MI

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2023-05-12
  • MI RA
    APPROVED
    Since 2023-05-12

Branch Locations

Rockford, MI • 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
Cetera Advisors Llc Denver CO 01/2015 07/2019
Regal Investment Advisors, Llc Kentwood MI 07/2019 05/2023
Regulus, Llc Kentwood MI 07/2019 05/2023
Lpl Financial Llc Grand Rapids MI 05/2023 Present
Previous Registrations
  • 2021-10-26 → 2023-05-12
    Spc
    Grand Rapids, MI
    Ann Arbor, MI
  • 2019-07-19 → 2021-09-14
    Regal Investment Advisors Llc
    Kentwood, MI
  • 2015-03-03 → 2019-07-30
    Cetera Advisors Llc
    Rockford, MI
    Kalamazoo, MI
    Rockford, MI
Other Businesses

1. 05/18/2023 - Fliehman Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business)

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-02-23
S63 Uniform Securities Agent State Law Examination 2013-09-18
  • S66 Uniform Combined State Law Examination
    2015-02-23
  • S63 Uniform Securities Agent State Law Examination
    2013-09-18
Other Names
  • Adam Fliehman

View on SEC IAPD

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