Michael Riley Alef

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

• 03/2001 → Present
  Bank Of New Albany
  New Albany, MS
• 12/2005 → Present
  Sorrento Pacific Financial, Llc
  San Diego, CA
• 05/2025 → Present
  Lpl Financial Llc
  New Albany, MS

Previous Registrations

• 2007-08-15 → 2025-05-15
  Sorrento Pacific Financial, Llc
  New Albany, MS
  Memphis, TN
  New Albany, MS
  New Albany, MS

Other Businesses

1- 06/2025 / BNA Investments & Financial Management / DBA for LPL Business (entity for LPL business) / Investment Related / 173 hrs mth / 141 hrs during trading / At reported business location(s)

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-07-12
• S63 Uniform Securities Agent State Law Examination
  2001-04-02