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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-09-05
  • TX RA
    APPROVED
    Since 2025-09-05

Branch Locations

4707 Executive Dr, San Diego, CA 92121-3091 • United States

Sherman, TX • United States

Sherman, TX • 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
OrganizationCityStateFromTo
Compass Bank Birmingham AL 11/2015 08/2020
Bbva Securities Inc. Allen TX 11/2015 08/2020
Bbva Compass Insurance Agency, Inc. Austin TX 11/2015 08/2020
Bbva Wealth Solutions Inc. Allen TX 12/2015 08/2020
Hilltop Securities Inc. Dallas TX 08/2020 09/2025
Lpl Financial Llc Sherman TX 09/2025 Present
  • 11/2015 → 08/2020
    Compass Bank
    Birmingham, AL
  • 11/2015 → 08/2020
    Bbva Securities Inc.
    Allen, TX
  • 11/2015 → 08/2020
    Bbva Compass Insurance Agency, Inc.
    Austin, TX
  • 12/2015 → 08/2020
    Bbva Wealth Solutions Inc.
    Allen, TX
  • 08/2020 → 09/2025
    Dallas, TX
  • 09/2025 → Present
    Sherman, TX
Previous Registrations
  • 2023-05-01 → 2025-09-04
    Sherman, TX
    Dallas, TX
    Sherman, TX
  • 2020-08-21 → 2023-06-13
    Dallas, TX
    Plano, TX
    Dallas, TX
  • 2015-12-10 → 2020-08-24
    Pnc Managed Account Solutions, Inc.
    Dallas, TX
    Allen, TX
  • 2014-05-14 → 2015-10-14
    Dallas, TX
    Garland, TX
  • 2012-10-01 → 2014-05-02
    Shreveport, LA
    West Lake, LA
    Deridder, LA
    Sulphur, LA
    Shreveport, LA
    Shreveport, LA
    Lake Charles, LA
    Lake Charles, LA
    Dequincy, LA
    Lake Charles, LA
    Lake Charles, LA
    Lake Charles, LA
    Lake Charles, LA
    Moss Bluff, LA
    Monroe, LA
    Ruston, LA
    Monroe, LA
    Shreveport, LA
    Bossier City, LA
    Monroe, LA
    Shreveport, LA
    Shreveport, LA
    Monroe, LA
    Ruston, LA
    Haughton, LA
    Monroe, LA
    West Monroe, LA
    West Monroe, LA
    Shreveport, LA
    Monroe, LA
    Shreveport, LA
    Monroe, LA
    Monroe, LA
    Bossier City, LA
    West Monroe, LA
    Shreveport, LA
    Shreveport, LA
    Monroe, LA
    Bossier City, LA
    Shreveport, LA
    Pineville, LA
    Ball, LA
    Alexandria, LA
    Pineville, LA
    Lake Charles, LA
    Alexandria, LA
    Alexandria, LA
    Monroe, LA
  • 2007-11-14 → 2012-10-01
    Chase Investment Services Corp.
    Shreveport, LA
    Hammond, LA
    Lafayette, LA
    Lafayette, LA
    Mandeville, LA
    Slidell, LA
    Lake Charles, LA
    Lafayette, LA
    Lafayette, LA
    New Iberia, LA
    Lafayette, LA
    Lafayette, LA
    Carencro, LA
    Broussard, LA
    Alexandria, LA
    Alexandria, LA
    Lake Charles, LA
    Deridder, LA
    Lafayette, LA
    Scott, LA
    Pineville, LA
    Alexandria, LA
    Lake Charles, LA
    Dequincy, LA
    Lake Charles, LA
    Moss Bluff, LA
    West Lake, LA
    Opelousas, LA
    New Iberia, LA
    New Iberia, LA
    Lafayette, LA
    Ball, LA
    Pineville, LA
    Sulphur, LA
    Lake Charles, LA
    Opelousas, LA
    Port Barre, LA
    Lafayette, LA
    Lake Charles, LA
    Lafayette, LA
    Lafayette, LA
    Sunset, LA
    Lafayette, LA
    Lake Charles, LA
    Abbeville, LA
    Shreveport, LA
    Bossier City, LA
    Monroe, LA
    Shreveport, LA
    Shreveport, LA
    West Monroe, LA
    Bossier City, LA
    Metairie, LA
    Monroe, LA
    Monroe, LA
    Shreveport, LA
    Monroe, LA
    Shreveport, LA
    West Monroe, LA
    West Monroe, LA
    Monroe, LA
    Haughton, LA
    Ruston, LA
    Monroe, LA
    Shreveport, LA
    Shreveport, LA
    Monroe, LA
    Bossier City, LA
    Shreveport, LA
    Monroe, LA
    Ruston, LA
    Monroe, LA
    Moss Bluff, LA
    Lake Charles, LA
    Lake Charles, LA
    Lake Charles, LA
    Lake Charles, LA
    Dequincy, LA
    Lake Charles, LA
    Lake Charles, LA
    Shreveport, LA
    Shreveport, LA
    Sulphur, LA
    Deridder, LA
    West Lake, LA
Other Businesses

1.09/04/2025; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Cellar Strategies Wealth and Advisory Services; Investment Related; at Reported Business Location(s); Start Date 09/01/2025; 160hrs/mth; 8hrs during trading 2.08/04/2026; Kane Family Management Group; Business Entity For Tax/Investment Purposes Only; Not Investment Related; at Reported Business Location(s); Start Date 01/05/2026; 1hrs/mth; 0hrs during trading 3.08/04/2026; Decanted Wisdom, LLC; Business Owner; Not Investment Related; Sherman,TX; Start Date 01/05/2026; 20hrs/mth; 0hrs during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-11-12
  • S66 Uniform Combined State Law Examination
    2007-11-12
Other Names
  • Michael J Kane

View on SEC IAPD

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