Michael Charles Mills

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2016 → 10/2025
  Morgan Stanley Private Bank
  Irving , TX
• 10/2025 → 07/2026
  Novem Lending
  Dallas, TX
• 10/2025 → Present
  Lpl Financial Llc
  Dallas, TX

Other Businesses

1. 06/2026 - Novem Lending - Outside/W-2 Employment - Investment related - Dallas TX 75201 - 40 Hrs/Mth - 20 Hrs During Trading - OBA start date: 10/01/2025 2. 06/2026 - Novem Wealth - DBA for LPL Business (entity for LPL business) - Investment related - At Reported Business Location(s) - 160 Hrs/Mth - 160 Hrs During Trading - OBA start date: 6/11/2026 3. 06/2026 - Real Estate Rental Properties - Real Estate Rental - Investment related - Plano TX 75025 - 40 Hrs/Mth - 00 Hrs During Trading - OBA start date: 03/01/2001

Exams

• S65 Uniform Investment Adviser Law Examination
  2026-07-17
• S63 Uniform Securities Agent State Law Examination
  1995-01-09