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Michael Mais

LPL Financial LLC
13 Years of Experience
Long Beach, CA
Broker
View SEC Summary
View SEC Summary

Michael Mais is a CFA-designated registered investment advisor at LPL Financial LLC, based in Long Beach, CA, with 13 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

3780 Kilroy Airport Way # 310, Long Beach, CA, 90806

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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 associated with Pacific Coast Capital Management as a DBA for his LPL business since 2021. This activity takes nearly full-time, consuming 90% of his time and 160 hours per month.

Employment History
Current Registrations
LPL Financial LLCBroker
January 2021 - Present · 5 yrs 9 mos
LPL Financial LLC
January 2021 - Present · 5 yrs 9 mos
Previous Registrations
Wells Fargo Advisors Financial Network, LLC
October 2019 - January 2021 · 1 yr 3 mos
Wells Fargo Advisors Financial Network, LLCBroker
October 2019 - January 2021 · 1 yr 3 mos
Wells Fargo Clearing Services, LLCBroker
September 2018 - October 2019 · 1 yr 1 mo
Wells Fargo Clearing Services, LLC
September 2018 - October 2019 · 1 yr 1 mo
UBS Financial Services INC.
September 2012 - July 2018 · 5 yrs 10 mos
UBS Financial Services INC.Broker
August 2012 - July 2018 · 5 yrs 11 mos
State Registrations17 states
ARAZCACOFLIDILLAMAMNMONJNVOKSDTXWA
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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