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Mikael Moran

LPl Financial LLC

Tempe, AZ

Casa Grande, AZ

CRD 6752289

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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

AuthorityCategoryStatusDate
AZ RA APPROVED 2025-01-22
  • AZ RA
    APPROVED
    Since 2025-01-22

Branch Locations

500 E. Rio Salado Pkwy Building 4, Floor 3, Tempe, AZ 85281 • United States

Casa Grande, AZ • 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
Morgan Stanley Gilbert AZ 02/2017 11/2024
Capital One Tampa FL 07/2011 02/2017
Lpl Financial Llc Tempe AZ 12/2024 Present
Previous Registrations
  • 2017-11-16 → 2024-12-17
    Morgan Stanley
    Tampa, FL
    Tampa, FL
    Gilbert, AZ
    Casa Grande, AZ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-11-15
  • S66 Uniform Combined State Law Examination
    2017-11-15

View on SEC IAPD

Nearby Firms

OLIVE STREET INVESTMENT ADVISERS, LLC
EDWARD JONES
J.P. MORGAN SECURITIES LLC

Nearby Investors

David Erick Rosendahl
Teresa Valencia Schlafly
Sheree Louise Drake

Nearby Offices

OLIVE STREET INVESTMENT ADVISERS, LLC · ST. LOUIS, MO
EDWARD JONES · ST. LOUIS, MO
J.P. MORGAN SECURITIES LLC · Des Peres, MO

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