Michael Werner Stock

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

• 12/2010 → 06/2017
  Metlife Securities Inc.
  Elmsford, NY
• 03/2017 → 12/2018
  Mml Investors Services, Llc
  Middletown, NY
• 07/2016 → 12/2018
  Massachusetts Mutual Life Insurance Company
  Elmsford, NY
• 12/2018 → 12/2022
  Lincoln Financial Advisors
  Poughquag, NY
• 12/2022 → 05/2024
  Lincoln Financial Advisors Corporation
  Poughkeepsie, NY
• 05/2024 → Present
  Lpl Financial, Llc
  Wappingers Falls, NY

Previous Registrations

• 2018-12-21 → 2024-05-03
  Osaic Fa, Inc.
  Poughkeepsie, NY
• 2018-01-17 → 2018-12-24
  Mml Investors Services, Llc
  Middletown, NY
  Elmsford, NY

Other Businesses

1. 05/01/2024- Lincoln Wealth Strategies- DBA for LPL Business (entity for LPL business)- Inv Rel- At Reported Business Location (s) 2. 05/01/2024- Non-Variable Insurance- NY 12590- 1 hr per mnth- 1 hr during trading- start date 05/01/2024

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-07-30
• S63 Uniform Securities Agent State Law Examination
  1999-07-12