Michael Duane Lafleche

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-08-03
CO	RA	APPROVED	2019-10-16

NY RA
APPROVED

Since 2021-08-03
CO RA
APPROVED

Since 2019-10-16

Branch Locations

800 Route 146 Ste 473, Clifton Park, NY 12065 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
First Allied Securities, Inc.	San Diego	CA	06/2005	10/2019
First Allied Advisory Services, Inc.	Chesterfield	MO	06/2005	10/2019
Lpl Financial	Clifton Park	NY	10/2019	Present

06/2005 → 10/2019

First Allied Securities, Inc.

San Diego, CA
06/2005 → 10/2019

First Allied Advisory Services, Inc.

Chesterfield, MO
10/2019 → Present

Lpl Financial

Clifton Park, NY

Previous Registrations

2012-06-15 → 2019-10-15

First Allied Advisory Services, Inc.

Clifton Park, NY
2012-03-06 → 2012-07-02

First Allied Securities, Inc.

Clifton Park, NY

Clifton, NY

Other Businesses

1)07/2003 - DBA for LPL Business(entity for LPL Business) - PAM ASSOCIATES, LLC - 100% - INVESTMENT RELATED - CLIFTON PARK, NY 12065

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-04-12
S63	Uniform Securities Agent State Law Examination	1991-11-02

S65 Uniform Investment Adviser Law Examination

1996-04-12
S63 Uniform Securities Agent State Law Examination

1991-11-02

View on SEC IAPD

Current Employers

Lpl Financial Llc

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews