Mike Lloyd Hauser

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:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2025-01-22
TX	RA	APPROVED_RES	2024-04-04
MO	RA	APPROVED	2003-02-28

FL RA
APPROVED

Since 2025-01-22
TX RA
APPROVED_RES

Since 2024-04-04
MO RA
APPROVED

Since 2003-02-28

Branch Locations

Fort Myers Beach, FL • United States

12813 Flushing Meadows Dr #270, Town & Country, MO 63131 • United States

12813 Flushing Meadows Dr Ste 270, St. Louis, MO 63131 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Lpl Financial Llc	St. Louis	MO	02/2003	Present

02/2003 → Present

Lpl Financial Llc

St. Louis, MO

Previous Registrations

1995-02-06 → 2003-03-04

Prudential Equity Group, Llc

St. Louis, MO

Other Businesses

1. 06/12/06 - THE HAUSER GROUP / SMALL FAMILY OWNED PUBLIC REALTIONS FIRM (SINCE 1995)/TAX PREP/ACCOUNTING/CPA / ST. LOUIS MO 63101/ 1% TIME SPENT 2. 02/27/2008 - NO BUSINESS NAME - ACT IN A FIDUCIARY CAPACITY - 0% TIME SPENT - HAUSER FAMILY TRUST 3. 05/08/2008 - NO BUSINESS NAME - ACT IN A FIDUCIARY CAPACITY - 1% TIME SPENT - ACTING AS TRUSTEE FOR MY DECEASED MOTHER'S TRUST: PATRICIA D. HAUSER TRUST DATED 6/20/95 4. 08/29/2014 - HAUSER GROUP WEALTH MANAGEMENT - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) ALL ADVISORY/BROKERAGE BUSINESS- TIME SPENT 60 HOURS PER MONTH - ST. LOUIS, MO.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-02-16
S63	Uniform Securities Agent State Law Examination	1995-01-31

S65 Uniform Investment Adviser Law Examination

1995-02-16
S63 Uniform Securities Agent State Law Examination

1995-01-31

View on SEC IAPD