Michael Mais

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

• 05/2012 → 06/2018
  Ubs Financial Services Inc.
  Long Beach, CA
• 09/2018 → 10/2019
  Wells Fargo Clearing Services, Llc
  Long Beach, CA
• 10/2019 → 01/2021
  Wells Fargo Advisors Financial Network, Llc
  Long Beach, CA
• 01/2021 → Present
  Lpl Financial, Llc
  Long Beach, CA

Previous Registrations

• 2019-10-17 → 2021-01-21
  Wells Fargo Advisors Financial Network, Llc
  Long Beach, CA
• 2018-09-19 → 2019-10-16
  Wells Fargo Clearing Services, Llc
  Long Beach, CA
• 2012-09-14 → 2018-07-05
  Ubs Financial Services Inc.
  Seal Beach, CA

Other Businesses

1. 1/19/2021 - Pacific Coast Capital Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/19/2021 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 90%.

Exams

• S66 Uniform Combined State Law Examination
  2012-09-13

Designations

• Chartered Financial Analyst

Other Names

• Michael Tyler Mais