Michael Charles Vining

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

• 07/2007 → 06/2019
  Foresters Financial Services
  Denver, CO
• 03/2008 → 09/2024
  Self
  Westport, WA
• 02/2013 → 06/2019
  Foresters Advisory Services
  Denver, CO
• 06/2019 → 12/2024
  Cetera Investment Advisers Llc
  Denver, CO
• 06/2019 → 12/2024
  Cetera Investment Services Llc
  St. Cloud, MN
• 12/2024 → Present
  Lpl Financial Llc
  Denver, CO

Previous Registrations

• 2019-06-19 → 2024-12-03
  Cetera Investment Advisers Llc
  Denver, CO
  Greenwood Village, CO
  Denver, CO
• 2013-02-20 → 2019-06-24
  Foresters Advisory Services, Llc
  Denver, CO

Other Businesses

1- 11/2024 / Westward Wealth Management / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mth / 8 hrs during trading / At reported business location(s) 2- 12/03/2024 / PACIFIC DOVE SEAFOODS / Outside/W-2 Employment / Not Investment Related / 1 hr mth / Denver, CO / Start date: 06/01/1992 3- 03/19/2026 - Westward Wealth - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 03/01/2026 - 10 hours pe rmonth/ 1 hour during trading

Exams

• S66 Uniform Combined State Law Examination
  2012-11-20
• S63 Uniform Securities Agent State Law Examination
  2004-12-15

Other Names

• Mike Vining