Micah R Schroeder

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
WI	RA	APPROVED	2025-01-01
TX	RA	APPROVED	2020-05-04

WI RA
APPROVED

Since 2025-01-01
TX RA
APPROVED

Since 2020-05-04

Branch Locations

1300 Summit Ave Suite100, Oconomowoc, WI 53066 • United States

N112 W17100 Mequon Rd, Germantown, WI 53022 • United States

1811 W Washington St, West Bend, WI 53095 • United States

18815 W Capital Dr, Brookfield, WI 53045 • United States

N56 W14044 Silver Spring # 100, Menomonee Falls, WI 53051 • United States

11715 N Port Washington Rd, Mequon, WI 53092 • United States

400 E Wisconsin Ave Suite 100, Milwaukee, WI 53202 • United States

W359 N5900 Brown St, Oconomowoc, WI 53066 • United States

5555 N Port Washington Rd, Glendale, WI 53217 • United States

800 Cardinal Ln, Hartland, WI 53029 • United States

155 W Wisconsin Ave, Oconomowoc, WI 53066 • United States

2300 Washington St, Grafton, WI 53024 • United States

940 Bell Ave, Hartford, WI 53027 • United States

12600 W North Ave, Brookfield, WI 53005 • United States

1300 Summit Ave Suite 203, Oconomowoc, WI 53066 • 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
Massmutual	Oconomowoc	WI	06/2015	04/2020
Mml Investors Services	Oconomowoc	WI	09/2015	03/2020
Lpl Financial Llc	Oconomowoc	WI	04/2020	Present
Bank Five Nine	Oconomowoc	WI	04/2020	Present

06/2015 → 04/2020

Massmutual

Oconomowoc, WI
09/2015 → 03/2020

Mml Investors Services

Oconomowoc, WI
04/2020 → Present

Lpl Financial Llc

Oconomowoc, WI
04/2020 → Present

Bank Five Nine

Oconomowoc, WI

Previous Registrations

2018-09-26 → 2020-04-22

Mml Investors Services, Llc

Milwaukee, WI

Oconomowoc, WI

Other Businesses

1)4/17/2020-Summit Street Wealth Management- DBA for LPL Business (entity for LPL business)-Inv. Related- at reported business location(s)-100% 2)4/17/2020- GBU Financial Life-Non-Variable Insurance- Agent for Fixed insurance, life - Oconomowoc, WI- 3hrs/mth- 5% 3) 8/25/2020 - Crump - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 04/20/2020 - 4 Hours Per Month During Securities Trading. 4) 01/05/2023 - Five Nine Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 12/01/2022.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2018-09-06
S63	Uniform Securities Agent State Law Examination	2016-12-28

S65 Uniform Investment Adviser Law Examination

2018-09-06
S63 Uniform Securities Agent State Law Examination

2016-12-28

View on SEC IAPD