TrueAdvisor
TrueAdvisor
MC
MC

Michael Carley

LPL Financial LLC
27 Years of Experience
Tucson, AZ
1 DisclosureBroker
View SEC Summary
View SEC Summary

Michael Carley is a registered investment advisor at LPL Financial LLC, based in Tucson, AZ, with 27 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
—
View Full SEC Brochure

Location

Tucson, AZ

Get directions

History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2003
Withdrawn
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
LPL Financial LLC
August 2021 - Present · 5 yrs 2 mos
LPL Financial LLCBroker
January 2009 - Present · 17 yrs 9 mos
Previous Registrations
Morgan Stanley & CO. IncorporatedBroker
April 2007 - February 2009 · 1 yr 10 mos
Morgan Stanley Dw INC.Broker
August 2002 - April 2007 · 4 yrs 8 mos
U.S. Bancorp Piper Jaffray INC.Broker
April 2001 - September 2002 · 1 yr 5 mos
Farmers Financial Solutions, LLCBroker
March 2001 - April 2001 · 1 mo
Painewebber IncorporatedBroker
July 1998 - February 2000 · 1 yr 7 mos
State Registrations4 states
AZCAMNTX
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.
More Advisors
More financial advisors in Tucson, AZ →All financial advisors in Arizona →