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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

MICHAEL PETER SLOAN

Advisor at LPL FINANCIAL LLC

ST. CHARLES, IL | ELGIN, IL | GENEVA, IL

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Search this name across graphsid dfx:ria:27061e8f-960a-6166-94cc-e4d813ebcf14

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 6, 2010 to Sep 15, 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: Jul 28, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Jul 28, 1995
First registration: Aug 6, 2010
Dual registered: yes, broker-dealer
IAPD individual key: 2178871

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	Jan 23, 2025	n/a	yes	GENEVA, IL\|ST. CHARLES, IL\|ELGIN, IL	Current employment
WINTRUST INVESTMENTS	Former SEC adviser	Aug 9, 2010	Jan 23, 2025	no	ST. CHARLES, IL\|GENEVA, IL\|ELGIN, IL\|ELGIN, IL\|CHICAGO, IL\|GENEVA, IL	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Aug 6, 2010	Aug 9, 2010	no	CHICAGO, IL\|ST. CHARLES, IL	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
WINTRUST INVESTMENTS	LPL FINANCIAL LLC	Jan 23, 2025	Jan 23, 2025	0	Bulk transfer	RIA to ibd
CHASE INVESTMENT SERVICES CORP.	WINTRUST INVESTMENTS	Aug 9, 2010	Aug 9, 2010	0	Firm change	Other

Relationships

Registered with (3)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jan 23, 2025 to presentfactForm ADV
→ WINTRUST INVESTMENTSRegistered adviserregistration: previous registration
Aug 9, 2010 to Jan 23, 2025factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Aug 6, 2010 to Aug 9, 2010factForm ADV

Dated events

No dated event names this entity yet.