Michael Sloan
Michael Sloan is a registered investment advisor at LPL Financial LLC, based in St. Charles, IL, with 29 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
411 W. Main Street, St. Charles, IL, 60174
Get directionsHistory
Regulatory History (9)
Customer Dispute
March 2025Customer Dispute
December 2023Customer Dispute
August 2022Customer Dispute
July 2022Customer Dispute
November 2021Customer Dispute
August 2012Customer Dispute
August 2009Customer Dispute
June 2009Customer Dispute
August 2007Other Business Activities
Michael operates his LPL business through Wintrust Investments, a DBA. This investment-related activity takes up a full-time commitment.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Wintrust Investments
Wintrust Investments LLCBroker
Chase Investment Services CORP.
Chase Investment Services CORP.Broker
Banc One Securities CorporationBroker
Josephthal & CO., INC.Broker
Salomon Smith Barney INC.Broker
First Albany CorporationBroker
H.J. Meyers & CO., INC.Broker
State Registrations22 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.