Michael Allen Case

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2003 → Present
  Community College Of Baltimore County
  Baltimore, MD
• 12/2012 → 11/2024
  Northwestern Mutual Life Insurance Company
  Milwaukee, WI
• 12/2012 → 11/2024
  Northwestern Mutual Investment Services, Llc
  Baltimore, MD
• 01/2016 → 11/2024
  Northwestern Mutual Wealth Management Company
  Milwaukee, WI
• 11/2024 → Present
  Lpl Financial
  Marriottsville, MD

Previous Registrations

• 2015-02-16 → 2024-11-06
  Northwestern Mutual Investment Services, Llc
  Baltimore, MD

Other Businesses

1.11/05/2024; MAC84, Inc.; Business Entity For Tax/Investment Purposes Only; Not Investment Related; at Reported Business Location(s); Start Date 03/26/2021; 30-50hrs/mth; 32hrs during trading 2.08/18/2026; Investment products and services are offered through LPL Financial LLC using the DBA/trade name M.A. Case & Associates; Investment Related; at Reported Business Location(s); Start Date 11/04/2024; 160hrs/mth; 130hrs during trading 3.08/18/2026; M. Allen Case & Associates; Non-Variable Insurance; Investment Related; at Reported Business Location(s); Start Date 11/18/2024; 10hrs/mth; 10hrs during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2015-02-13
• S63 Uniform Securities Agent State Law Examination
  2013-08-26

Designations

• Chartered Financial Consultant