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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)35 years in industry

MICHAEL BRUCE FRISCHMAN

Advisor at LPL FINANCIAL LLC

WEST HILLS, CA

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Search this name across graphsid dfx:ria:28120a52-d8f9-a754-8d60-1d966afc95ec

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Feb 17, 2004 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: Jan 30, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Jan 30, 1991
First registration: Feb 17, 2004
Dual registered: yes, broker-dealer
Other names: MIKE FRISCHMAN
IAPD individual key: 2120224

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 6, 2025	n/a	yes	WEST HILLS, CA	Current employment
IC ADVISORY SERVICES, INC.	Former SEC adviser	May 18, 2018	Mar 6, 2025	no	WEST HILLS, CA\|BEDMINSTER, NJ	Previous registration
QUESTAR ASSET MANAGEMENT, INC.	Former SEC adviser	Sep 6, 2016	May 21, 2018	no	Woodland Hills, CA\|MINNEAPOLIS, MN	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 23, 2009	Sep 6, 2016	no	SHERMAN OAKS, CA\|PASADENA, CA\|ENCINO, CA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Dec 15, 2008	Oct 23, 2009	no	SHERMAN OAKS, CA\|PASADENA, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	May 29, 2007	Dec 20, 2008	no	LOS ANGELES, CA\|LOS ANGELES, CA	Previous registration
CITICORP INVESTMENT SERVICES	n/a	Feb 17, 2004	May 29, 2007	no	LOS ANGELES, CA\|LOS ANGELES, 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
IC ADVISORY SERVICES, INC.	LPL FINANCIAL LLC	Mar 6, 2025	Mar 6, 2025	0	Bulk transfer	Ibd to ibd
QUESTAR ASSET MANAGEMENT, INC.	IC ADVISORY SERVICES, INC.	May 21, 2018	May 18, 2018	-3	Firm change	Ibd to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	QUESTAR ASSET MANAGEMENT, INC.	Sep 6, 2016	Sep 6, 2016	0	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 23, 2009	Oct 23, 2009	0	Bulk transfer	Other
CITIGROUP GLOBAL MARKETS INC.	BANC OF AMERICA INVESTMENT SERVICES, INC.	Dec 20, 2008	Dec 15, 2008	-5	Firm change	Other
CITICORP INVESTMENT SERVICES	CITIGROUP GLOBAL MARKETS INC.	May 29, 2007	May 29, 2007	0	Bulk transfer	Other

Relationships

Registered with (7)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Mar 6, 2025 to presentfactForm ADV
→ IC ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
May 18, 2018 to Mar 6, 2025factForm ADV
→ QUESTAR ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Sep 6, 2016 to May 21, 2018factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 23, 2009 to Sep 6, 2016factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Dec 15, 2008 to Oct 23, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
May 29, 2007 to Dec 20, 2008factForm ADV
→ CITICORP INVESTMENT SERVICESRegistered adviserregistration: previous registration
Feb 17, 2004 to May 29, 2007factForm ADV

Dated events

No dated event names this entity yet.