Michael Stephen Hodges

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

Authority	Category	Status	Date
FL	RA	APPROVED	2019-05-01

FL RA
APPROVED

Since 2019-05-01

Branch Locations

Fort Myers, FL • United States

300 East Sugarland Hwy, Clewiston, FL 33440 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Fort Myers	FL	09/2013	Present
Atlantic Capital Advisors	Fort Myers	FL	09/2013	Present
Independent Financial Partners	Ft Myers	FL	10/2015	04/2019

09/2013 → Present

Lpl Financial Llc

Fort Myers, FL
09/2013 → Present

Atlantic Capital Advisors

Fort Myers, FL
10/2015 → 04/2019

Independent Financial Partners

Ft Myers, FL

Previous Registrations

2015-12-08 → 2019-04-26

Independent Financial Partners

Ft Lauderdale, FL
2013-02-15 → 2013-09-09

Cetera Investment Services Llc

St Cloud, MN

Fort Myers, FL
2012-03-14 → 2012-09-20

Pnc Wealth Management Llc

Naples, FL

Ft. Myers, FL

Palm Beach Gardens, FL

Bonita Springs, FL

Naples, FL

Naples, FL

Naples, FL

Naples, FL
2009-12-21 → 2012-02-24

Southern Trust Financial Planning

Sarasota, FL

Bonita Springs, FL
2008-08-21 → 2009-10-29

Colonial Asset Management Inc

Ft. Myers, FL

Montgomery, AL

Ft. Myers, FL
2006-01-02 → 2008-02-29

First Horizon Advisors, Inc.

Longwood, FL
2004-03-12 → 2005-11-09

First Horizon Advisors, Inc.

Longwood, FL

Other Businesses

1. 9/26/2013 - ATLANTIC INSURANCE GROUP - INV REL - Non-Variable Insurance - 20% TIME SPENT - WEALTH ADVISOR, MOSTLY FA SOME LIFE 2. 06/13/2019 - ATLANTIC CAPITAL ADVISORS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 04/09/2019 - 160 Hours Per Month/160 Hours During Securities Trading. 3. 2/4/2020 - First1Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 07/15/2019 - 25 Hours Per Month/4 Hours During Securities Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-07-11
S63	Uniform Securities Agent State Law Examination	1987-01-08

S66 Uniform Combined State Law Examination

2005-07-11
S63 Uniform Securities Agent State Law Examination

1987-01-08

Other Names

Mike Hodges

View on SEC IAPD