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Michael Hale

LPl Enterprise, LLC

Parkland, FL

CRD 6280193

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Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 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 Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-11-18
TX RA APPROVED_RES 2024-11-14
  • FL RA
    APPROVED
    Since 2024-11-18
  • TX RA
    APPROVED_RES
    Since 2024-11-14

Branch Locations

Parkland, FL • 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
OrganizationCityStateFromTo
Hornor Townsend & Kent Inc Horsham PA 03/2016 03/2018
Penn Mutual Life Insurance Co Horsham PA 02/2016 03/2018
The Prudential Insurance Company Of America Boca Raton FL 03/2018 Present
Pruco Securities Llc Boca Raton FL 03/2018 11/2024
Lpl Enterprise, Llc Parkland FL 11/2024 Present
  • 03/2016 → 03/2018
    Hornor Townsend & Kent Inc
    Horsham, PA
  • 02/2016 → 03/2018
    Penn Mutual Life Insurance Co
    Horsham, PA
  • 03/2018 → Present
    The Prudential Insurance Company Of America
    Boca Raton, FL
  • 03/2018 → 11/2024
    Pruco Securities Llc
    Boca Raton, FL
  • 11/2024 → Present
    Lpl Enterprise, Llc
    Parkland, FL
Previous Registrations
  • 2019-06-24 → 2024-11-14
    Pruco Securities, Llc.
    West Palm Beach, FL
    Boca Raton, FL
    Boca Raton, FL
    Parkland, FL
    Parkland, FL
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2020-09-08
S65 Uniform Investment Adviser Law Examination 2019-06-08
  • S63 Uniform Securities Agent State Law Examination
    2020-09-08
  • S65 Uniform Investment Adviser Law Examination
    2019-06-08
Other Names
  • Michael Hale
  • Michael Adam Hale

View on SEC IAPD

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