Michael Peter Sloan

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2025-02-04
IL	RA	APPROVED	2025-01-23

TX RA
APPROVED_RES

Since 2025-02-04
IL RA
APPROVED

Since 2025-01-23

Branch Locations

411 W. Main Street, St. Charles, IL 60174 • United States

1001 S. Randall Road, Elgin, IL 60123 • 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
Wayne Hummer Investments	St. Charles	IL	08/2010	01/2025
Lpl Financial Llc	Elgin	IL	01/2025	Present

08/2010 → 01/2025

Wayne Hummer Investments

St. Charles, IL
01/2025 → Present

Lpl Financial Llc

Elgin, IL

Previous Registrations

2010-08-09 → 2025-01-23

Wintrust Investments Llc

St. Charles, IL

Geneva, IL

Elgin, IL

Elgin, IL

Chicago, IL

Geneva, IL
2010-08-06 → 2010-08-09

Chase Investment Services Corp.

Chicago, IL

St. Charles, IL

Other Businesses

1. 01/23/2025- Wintrust investments- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 09/16/2024- 160 Hours Per Month- 160 Hours During Trading. 2) 10/14/2025 - BDMS LLC - Investment Related - Real Estate Rental - Start Date:01/19/2012 - 0 Hrs/Mth - 0 Hrs During Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2010-08-05
S63	Uniform Securities Agent State Law Examination	1995-07-28

S65 Uniform Investment Adviser Law Examination

2010-08-05
S63 Uniform Securities Agent State Law Examination

1995-07-28

View on SEC IAPD