Michael Dale Peterson

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	2001-05-18

WI RA
APPROVED

Since 2001-05-18

Branch Locations

100 Ernie Drive, Barneveld, WI 53507 • United States

222 W. Commercial Street, Mazomanie, WI 53560 • United States

166 South Lexington Street, Spring Green, WI 53588 • United States

187 S Central Ave, Richland Center, WI 53581-2333 • United States

516 E Leffler St, Dodgeville, WI 53533 • United States

1065 Main Street, Plain, WI 53577 • 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
Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)	Mazomanie	WI	04/2001	Present

04/2001 → Present

Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)

Mazomanie, WI

Other Businesses

1. 1/8/2003 - NON-VARIABLE INSURANCE - SELL LTC, MEDICARE SUPPLEMENTS AND HEALTH INSURANCE. - MAZOMANIE, WI. 2. 12/11/2008 - OTHER-DUAL EMPLOYEE OF BANK AND LPL - THE PEOPLES COMMUNITY BANK - BANK - 100% OF TIME SPENT - MAZOMANIE, WI. 3. 7/5/2016 - Government - Not Investment Related - 403 E. Hwy ID, Barneveld WI 53507 - Other-Village Board President - Village Trustee - Started 05/01/2016 - 5 Hours Per Month/0 Hours During Securities Trading. 4. 1/29/2019 - PCB Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/07/2019 - 120 Hours Per Month/8 Hours During Securities Trading. 5. 2/26/2019 - Ash Brokerage - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 01/01/2019 - 20 Hours Per Month/1 Hour During Securities Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1998-11-02

S66 Uniform Combined State Law Examination

1998-11-02

View on SEC IAPD