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Michael George Hefner

LPl Financial LLC

Phoenix, AZ

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-06-05
  • CA RA
    APPROVED
    Since 2025-06-05

Branch Locations

Phoenix, AZ • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Western International Securities, Inc. Pasadena CA 11/2003 06/2025
Lpl Financial Llc Phoenix AZ 06/2025 Present
  • 11/2003 → 06/2025
    Western International Securities, Inc.
    Pasadena, CA
  • 06/2025 → Present
    Lpl Financial Llc
    Phoenix, AZ
Previous Registrations
  • 2005-12-13 → 2025-06-05
    Western International Securities, Inc.
    Pasadena, CA
    Pasadena, CA
    Pasadena, CA
    Phoenix, AZ
    Glendale, CA
    Glendale, CA
    Pasadena, CA
    Glendale, CA
  • 1989-04-25 → 2003-12-15
    Ubs Financial Services Inc.
    Pasadena, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1984-10-19
  • S63 Uniform Securities Agent State Law Examination
    1984-10-19

View on SEC IAPD

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