Michael Haley
Michael Haley is a registered investment advisor at LPL Financial LLC, based in Stockton, CA, with 37 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
338 E Lindsay St, Stockton, CA, 95202
Get directionsHistory
Regulatory History (1)
Customer Dispute
December 2020Other Business ActivitiesSells Insurance
Michael is a board member at Golden Bear Insurance Company since 2007, dedicating about half of his time. He also works with Bank of Stockton, doing business as Investment & Insurance Services, and sells non-variable insurance, spending a few hours per week.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
National Planning Corporation ("npc of America" in Fl & Ny)
National Planning CorporationBroker
Marketing One Securities, INC.Broker
Wall Street Investor ServicesBroker
Security First Financial, INC.Broker
John Hancock Distributors, INC.Broker
John Hancock Mutual Life Insurance CompanyBroker
First American National Securities, INC.Broker
State Registrations27 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.