Michael Leonard Hicks

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
CA	RA	APPROVED	2018-02-14

CA RA
APPROVED

Since 2018-02-14

Branch Locations

13950 Milton Ave Ste 401, Westminster, CA 92683 • 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
Michael L. Hicks, C.P.A.	Westminster	CA	06/1985	Present
Invest Financial Corp	Westminster	CA	05/2004	02/2018
Lpl Financial Llc	Westminster	CA	02/2018	Present

06/1985 → Present

Michael L. Hicks, C.P.A.

Westminster, CA
05/2004 → 02/2018

Invest Financial Corp

Westminster, CA
02/2018 → Present

Lpl Financial Llc

Westminster, CA

Previous Registrations

2004-05-21 → 2018-02-14

Invest Financial Corporation

Westminster, CA
1999-07-01 → 2004-07-28

Avantax Advisory Services

Westminster, CA

Other Businesses

1. 02/14/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Start Date 06/85 - 104 Hours Per Month - Time Spent 65%.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1998-12-14

S66 Uniform Combined State Law Examination

1998-12-14

Other Names

Michael Leonard Hicks

View on SEC IAPD