Michael James Schmid

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 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

• 03/2021 → 06/2021
  Chelsea Financial Services
  Staten Island, NY
• 02/2019 → 03/2021
  Not Employed
  Huntington, NY
• 10/2018 → 02/2019
  Distinct Interiors
  New York, NY
• 03/2017 → 08/2018
  Messina Market
  Huntington, NY
• 11/2015 → 03/2017
  Not Employed
  Huntington, NY
• 07/2023 → 11/2024
  Pruco Securities Llc
  New York, NY
• 06/2021 → 07/2023
  Unemployed
  Huntington, NY
• 11/2023 → Present
  The Prudential Insurance Company Of America
  New York, NY
• 11/2024 → Present
  Lpl Enterprise, Llc
  Riverhead, NY

Previous Registrations

• 2023-09-22 → 2024-11-14
  Pruco Securities, Llc.
  New York, NY
  Riverhead, NY

Other Businesses

1) 10/03/2024 - RG Wealth Management Group - Sales and Service of Pruco business - DBA for LPL Business (entity for LPL business) - Inv Related - At Riverhead, NY - Start Date 07/08/2024 - 80hrs/mth - 80hrs/mth During Trading 2) 10/03/2024 - THE RHG GROUP INSURANCE - Sales and Service of Pruco business - DBA for LPL Business (entity for LPL business) - Inv Related - At Riverhead, NY - Start Date 07/08/2024 - 80hrs/mth - 80hrs/mth During Trading 3) 07/08/2025-Prudential Sponsored Non-Variable Insurance-Non-Variable Insurance/Insurance Agency-Inv related-At reported business location(s)

Exams

• S63 Uniform Securities Agent State Law Examination
  2023-10-13
• S65 Uniform Investment Adviser Law Examination
  2023-09-22

Other Names

• Michael Schmid