Michael Joseph Barta

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:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2014-01-08
CA	RA	APPROVED	2007-12-12

TX RA
APPROVED_RES

Since 2014-01-08
CA RA
APPROVED

Since 2007-12-12

Branch Locations

Cardiff-By-The-Sea, CA • 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

Organization	City	State	From	To
Lpl Financial Llc	Cardiff-By-The-Sea	CA	12/2007	Present

12/2007 → Present

Lpl Financial Llc

Cardiff-By-The-Sea, CA

Previous Registrations

2005-11-29 → 2007-10-09

Banc Of America Investment Services, Inc.

Riverside, CA
2003-09-11 → 2005-11-21

Td Ameritrade, Inc.

Beverly Hills, CA

Other Businesses

1. 04/03/2008 - M.J. Barta & Company Financial - At Reported Business Location(s) - Non-Variable Insurance DBA - fixed insurance, ltc. 2. 05/23/2011 - M.J. Barta & Co. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. 11/16/2017 - No Business Name - Investment Related - At Reported Business Location(s) - Non Variable Insurance - Start Date 11/30/2017 - 1 Hour Per Month/0 Hours During Securities Trading - Health Insurance.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-04-17
S63	Uniform Securities Agent State Law Examination	1994-08-04

S65 Uniform Investment Adviser Law Examination

2002-04-17
S63 Uniform Securities Agent State Law Examination

1994-08-04

View on SEC IAPD