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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2024-01-17 |
| TX | RA | APPROVED | 2024-01-17 |
Branch Locations
213 East Main St., Gaylord, MI 49735 • United States
319 Lake St., Roscommon, MI 48653 • United States
5982 Westside Saginaw Rd, Bay City, MI 48706 • United States
2 disclosure categories 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Maier And Associates | Bay City | MI | 11/2018 | Present |
| Securities America, Inc. | Lavista | NE | 10/2013 | 11/2018 |
| Raymond James Financial Services, Inc. | Bay City | MI | 11/2018 | 01/2024 |
| Raymond James Financial Services Advisors, Inc. | Bay City | MI | 11/2018 | 01/2024 |
| Maier & Associates Charitable Foundation Inc. | Bay City | MI | 01/2004 | Present |
| Lpl Financial Llc | Bay City | MI | 01/2024 | Present |
1) 12/2023 - Wayne Maier Properties LLC / Owner / Real Estate Rental / 48706, MI / Start date 02/01/2009 - 1Hrs per month - 1% Time Spent 2) 12/2023 - Maier & Associates Financial Group. Inc. / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) 25 Hrs per month / 90% Time Spent 3) 12/2023 - Non-Variable Insurance / Inv. Related / Bay City, MI / Start date 10/01/1984 - 20 Hrs per month - 5 % Time Spent
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-03-19 |
| S63 | Uniform Securities Agent State Law Examination | 1989-05-17 |
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