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Arthur Michael Cordts

LPl Financial LLC

Anaheim Hills, CA

Yorba Linda, CA

CRD 3222304

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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
CA RA APPROVED 2009-03-09
  • CA RA
    APPROVED
    Since 2009-03-09

Branch Locations

155 Riverview Dr Ste 134, Anaheim Hills, CA 92808 • United States

Yorba Linda, 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
OrganizationCityStateFromTo
Lpl Financial Orange CA 03/2009 Present
  • 03/2009 → Present
    Lpl Financial
    Orange, CA
Previous Registrations
  • 2002-12-13 → 2009-03-17
    Ubs Financial Services Inc.
    Newport Beach, CA
    Newport Beach, CA
  • 1999-07-09 → 2002-12-19
    Prudential Equity Group, Llc
    Newport Beach, CA
Other Businesses

1. 03/06/2009 - DBA ONLY - SYNERGY WEALTH MANAGEMENT - ANAHEIM HILLS, CA

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-06-28
S63 Uniform Securities Agent State Law Examination 1999-06-01
  • S65 Uniform Investment Adviser Law Examination
    1999-06-28
  • S63 Uniform Securities Agent State Law Examination
    1999-06-01
Designations
  • Certified Financial Planner
Other Names
  • Arthur Michael Cordts

View on SEC IAPD

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Nearby Offices

J.P. MORGAN SECURITIES LLC · ANAHEIM HILLS, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ANAHEIM, CA
TCFG INVESTMENT ADVISORS, LLC · Anaheim Hills, CA

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