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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

MICHAEL ADAM DAVIS

Advisor at LPL FINANCIAL LLC

WAXHAW, NC

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Search this name across graphsid dfx:ria:17ac2dbb-6fb8-07c8-f13a-e01967b0e839

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 7, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 29, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Aug 29, 2008
First registration: Oct 7, 2008
Dual registered: yes, broker-dealer
IAPD individual key: 5556071

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Mar 25, 2013	n/a	yes	WAXHAW, NC	Current employment
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	Dec 20, 2012	Mar 25, 2013	no	NEWPORT BEACH, CA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Dec 19, 2012	no	IRVINE, CA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Oct 7, 2008	Jun 1, 2009	no	IRVINE, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
STIFEL, NICOLAUS & COMPANY, INCORPORATED	LPL FINANCIAL LLC	Mar 25, 2013	Mar 25, 2013	0	Firm change	Other
MORGAN STANLEY	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Dec 19, 2012	Dec 20, 2012	1	Firm change	Wirehouse to ibd
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Mar 25, 2013 to presentfactForm ADV
→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: previous registration
Dec 20, 2012 to Mar 25, 2013factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Dec 19, 2012factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Oct 7, 2008 to Jun 1, 2009factForm ADV

Dated events

No dated event names this entity yet.