Michael John Willis

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
CA	RA	APPROVED	2007-09-27
TX	RA	APPROVED	2007-09-27

CA RA
APPROVED

Since 2007-09-27
TX RA
APPROVED

Since 2007-09-27

Branch Locations

Marina, 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

Organization	City	State	From	To
Willis Financial Management	Newark	CA	01/1998	Present
Lpl Financial Llc	Newark	CA	09/2007	Present

01/1998 → Present

Willis Financial Management

Newark, CA
09/2007 → Present

Lpl Financial Llc

Newark, CA

Previous Registrations

1998-10-06 → 2007-10-10

Cetera Advisors Llc

Newark, CA

Other Businesses

1. WILLIS FINANCIAL MANAGEMENT 6170 THORNTON AVENUE, SUITE G NEWARK, CA 94560 INVESTMENT-RELATED SELL FIXED INSURANCE AND LTC INCOME TAX PREPARATION 2. 8/13/2020 - M. J. Willis, Inc - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 1/1/1998 - 160 Hours Per Month/100 Hours During Securities Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-09-16
S63	Uniform Securities Agent State Law Examination	1994-10-06

S65 Uniform Investment Adviser Law Examination

1998-09-16
S63 Uniform Securities Agent State Law Examination

1994-10-06

View on SEC IAPD