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Michael William Hordy

LPl Financial LLC

Melville, NY

CRD 1434289

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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
NY RA APPROVED 2025-01-31
TX RA APPROVED_RES 2025-01-31
  • NY RA
    APPROVED
    Since 2025-01-31
  • TX RA
    APPROVED_RES
    Since 2025-01-31

Branch Locations

445 Broadhollow Rd Ste 112, Melville, NY 11747 • 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
Stifel Nicolaus & Co Inc Hauppauge NY 04/2010 01/2025
Lpl Financial Melville NY 01/2025 Present
  • 04/2010 → 01/2025
    Stifel Nicolaus & Co Inc
    Hauppauge, NY
  • 01/2025 → Present
    Lpl Financial
    Melville, NY
Previous Registrations
Other Businesses

1)12/09/2024 - The Pinnacle Financial Group - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s)

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-02-05
  • S63 Uniform Securities Agent State Law Examination
    1986-02-05

View on SEC IAPD

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