Michael Steven Lee

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

• 06/2009 → 09/2025
  Ubs Financial Services Inc
  Palm Beach Gardens, FL
• 09/2025 → Present
  Lpl Financial Llc
  Greenville, SC

Previous Registrations

• 2009-06-29 → 2025-09-19
  Ubs Financial Services Inc.
  Palm Beach Gardens, FL
  Greenville, SC
• 2008-10-01 → 2009-07-09
  J.P. Morgan Securities Llc
  Palm Beach, FL
• 2006-09-27 → 2008-10-01
  J.P. Morgan Securities Inc.
  Palm Beach Gardens, FL
  Naples, FL
  Boca Raton, FL
  Atlanta, GA
• 2001-04-05 → 2006-09-27
  Banc One Securities Corporation
  Atlanta, GA
  Boca Raton, FL
  Palm Beach Gardens, FL
  Naples, FL
  Palm Beach, FL
  Chicago, IL
  Boca Raton, FL

Other Businesses

1. 08/2025 - Public Speaker - Other - Investment related - 0 Hour(s)/Month - 0 Hour(s) During Trading - Greenville SC 29615 - OBA Start Date: 08/27/2024 2. 08/2025 - Ox Road Capital - DBA for LPL Business (entity for LPL business) - Investment Related - 34 Hour(s)/Month - 2 Hour(s) During Trading - At Reported business location(s) - OBA Start Date: 9/10/2025

Exams

• S66 Uniform Combined State Law Examination
  1999-09-10

Other Names

• Mike Lee