Michael Dennis Toomey

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

• 11/2015 → 06/2019
  Ameriprise Financial Services, Inc.
  Los Angeles, CA
• 06/2019 → Present
  Lpl Financial Llc
  Palos Verdes Estates, CA

Previous Registrations

• 2015-11-20 → 2019-06-25
  Ameriprise Financial Services, Llc
  Los Angeles, CA
• 2009-08-19 → 2015-11-23
  Western International Securities, Inc.
  Torrance, CA
  Crystal Bay, NV
• 2005-05-25 → 2009-08-17
  Wells Fargo Clearing Services, Llc
  Rolling Hills Estates, CA
  Rolling Hills Estates, CA
• 2001-06-13 → 2005-06-17
  Ubs Financial Services Inc.
  Long Beach, CA

Other Businesses

1. 6/21/2019 - Signet Strategic Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 6/2019 - Time Spent 100%. 2. 7/3/2019 - Raymond L. Toomey Trust - Not Investment Related - Home Based - Act in a Fiduciary Capacity - Co-Succesor Trustee - Started 09/08/2018 - 10 Hours Per Month/0 Hours During Securities Trading - Co-Succesor Trustee of Brother's Estate Raymond Lawrence Toomey, Deceased 9-14-2018.

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-09-03
• S63 Uniform Securities Agent State Law Examination
  1991-10-30

Other Names

• Mike Toomey