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Michael Thompson

LPL Financial

110 Washington Ave. 3rd Floor

North Haven, CT 06473

203-500-8527

BUILDING TOMORROW TOGETHER AT LPL

About LPL Financial

LPL was founded with a revolutionary vision: Help financial professionals build competitive businesses while they served their clients' best interests. And more than 30 years later, that remains true of LPL today. Building on that foundation, LPL offers comprehensive support for financial professionals across the spectrum of our industry: from independent financial advisors to financial institutions, from local advisor teams to large-scale RIA firms, from fully autonomous business owners to advisors employed by LPL. We believe in the value of independent advice, but at LPL, independence is not one-size-fits all. How could we serve you?

See Disclosures

General Information

Firm Start Year

1989

No. of Employees

More

CRD#

4415510

Firm CRD#

6413

Insurance License#

6078663

States Licensed in

AZ, CA, CT, DE, FL, MA, ME, MN, NC, NJ, NY, OH, PA, SC, TX

Years of Experience in Financial Services

21

Number of Years with Current Firm

3

Work Experience

LPL Financial: June 2019-present Foresters Financial: July 2001-June 2019

Work with the following types of clients

Individual Investors, Businesses

Advisory Services Provided

Financial Advice & Consulting, Investment Advice & Management, Insurance Products & Annuities, Financial Planning, Retirement Planning, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Planning for Individuals, Financial Planning for Businesses, Portfolio Management

Services

Investment Types

Mutual Funds, Insurance, Exchange Traded Funds (ETFs), Annuities, Socially Responsible Investments (SRI)

Can meet clients in the following ways

Phone, Our Office, Your Home, Email, Video Conference, Your Office

Compliance

Registered Representative

Yes

Investment Advisor Representative

Yes

Compliance Disclosures in Last 5 years

I have a clean record

Criminal Disclosures in Last 5 years

I have a clean record

Qualifications & Membership

Securities Licenses

Series 63, Series 6, Series 65

Insurance and Annuity Licenses

Annuity, Life, Long Term Care, Variable Life, Variable Annuity

Firm Information

Advisor's Number of Clients

253

Assets Managed by Advisor

$45000000

Compensation and Fees

Fee Structure

Fee-Based

Minimum Portfolio Size for New Managed Accounts

25000

Compensation Methods

Based on Assets

Additional Details on Charges

Fees are based on total household asset size. I also have the ability to work with retail mutual fund accounts with the various share classes offered.

Education

BA - Finance

SCSU
09/1995 - 05/2001

Disclosures

RetirementPlanning.net provides referrals to financial professionals of LPL Financial, LLC (LPL). RetirementPlanning.net is not a current client of LPL for brokerage or advisory services. Financial professionals of LPL pay RetirementPlanning.net cash compensation for these referrals, which creates the incentive for RetirementPlanning.net to make these referrals, resulting in a conflict of interest.


LPL ADV 2A

https://www.lpl.com/content/dam/lpl-www/documents/disclosures/A58.pdf

Additional Detailed Disclosures

https://www.lpl.com/content/dam/lpl-www/documents/disclosures/wiseradvisor/wiseradvisor-lpl-detailed-disclosures.pdf

Disclaimer

Securities and advisory services are offered through LPL Financial (LPL), a registered investment advisor and broker-dealer (member FINRA/SIPC). The LPL Financial registered representative(s) associated with this website may discuss and/or transact business only with residents of states in which they are properly registered or licensed. No offers may be made or accepted from an resident of any other state.