Michael David Palma

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
NY	RA	APPROVED	2021-08-03
TX	RA	APPROVED_RES	2019-10-11

NY RA
APPROVED

Since 2021-08-03
TX RA
APPROVED_RES

Since 2019-10-11

Branch Locations

82 Main St, Ste 300, Huntington, NY 11743 • 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
Lincoln Financial Advisors	New York	NY	02/2014	09/2019
Lpl Financial Llc	Melville	NY	09/2019	Present

02/2014 → 09/2019

Lincoln Financial Advisors

New York, NY
09/2019 → Present

Lpl Financial Llc

Melville, NY

Previous Registrations

2014-02-05 → 2014-02-06

Msi Financial Services, Inc.

New York, NY

Hauppauge, NY

New York, NY

Hauppauge, NY

East Hills, NY

Other Businesses

1. 1/29/2020 - Traverse Capital Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/28/2020 - 40 Hours Per Month During Securities Trading. 2. 05/20/2026 - Rosie Rider - Business Entity For Tax/Investment Purposes Only - Not Investment Related - Bethpage, NY - Start Date 05/13/2026 - 1 hour per month/ 0 hours during trading

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2008-09-30

S63 Uniform Securities Agent State Law Examination

2008-09-30

View on SEC IAPD