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CFP
MF
CFP

Michael Frank

LPL Financial LLC
37 Years of Experience
Delavan, WI
Broker
View SEC Summary
View SEC Summary

Michael Frank is a CFP-designated registered investment advisor at LPL Financial LLC, based in Delavan, WI, with 37 years of industry experience. Michael is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Delavan, WI

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Michael is involved in tax preparation, accounting, and CPA services since 1993, dedicating minimal time. He also has a business entity, Frank Advisory Services Inc., for tax/investment purposes.

Employment History
Current Registrations
LPL Financial LLCBroker
January 2023 - Present · 3 yrs 9 mos
LPL Financial LLC
January 2023 - Present · 3 yrs 9 mos
Previous Registrations
Cetera Financial Specialists LLCBroker
September 2017 - January 2023 · 5 yrs 4 mos
Cetera Investment Advisers LLC
September 2017 - January 2023 · 5 yrs 4 mos
Sage Private Wealth Group, LLC
November 2014 - September 2017 · 2 yrs 10 mos
Raymond James Financial Services Advisors, INC
July 2014 - September 2017 · 3 yrs 2 mos
Raymond James Financial Services, INC.Broker
July 2014 - September 2017 · 3 yrs 2 mos
Frank Advisory Services, INC.
January 2002 - December 2014 · 12 yrs 11 mos
LPL Financial LLC
April 1998 - August 2014 · 16 yrs 4 mos
LPL Financial LLCBroker
May 1995 - August 2014 · 19 yrs 3 mos
Gibraltar Investments, INC.Broker
January 1994 - May 1995 · 1 yr 4 mos
Rodman & Renshaw INC.Broker
May 1993 - January 1994 · 8 mos
Royal Alliance Associates, INC.Broker
November 1989 - May 1993 · 3 yrs 6 mos
Integrated Resources Equity CorporationBroker
October 1988 - November 1989 · 1 yr 1 mo
State Registrations14 states
ARFLIAILINMNMOMTNYSCTXVAWAWI
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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