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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

MICHAEL PHILLIP CLARK

Advisor at LPL FINANCIAL LLC

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Search this name across graphsid dfx:ria:2f1e46c8-715e-396d-168b-052dfedc8b9f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 20, 2003 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: Aug 12, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Aug 12, 2003
First registration: Aug 20, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 4653849

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	Oct 16, 2015	n/a	yes	Richmond, ME\|Topsham, ME\|Boothbay Harbor, ME\|Wiscasset, ME\|Brunswick, ME\|Bath, ME\|BRUNSWICK, ME\|GARDINER, ME\|RANDOLPH, ME\|LEWISTON, ME\|HALLOWELL, ME\|WATERVILLE, ME\|AUBURN, ME	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jan 21, 2014	Oct 16, 2015	no	BRUNSWICK, ME	Previous registration
CETERA INVESTMENT SERVICES LLC	Former SEC adviser	Nov 10, 2011	Jan 21, 2014	no	BRUNSWICK, ME\|RICHMOND, ME\|READFIELD, ME\|CARIBOU, ME\|TOPSHAM, ME\|BOOTHBAY HARBOR, ME\|WATERVILLE, ME\|RANDOLPH, ME\|OAKLAND, ME\|WATERVILLE, ME\|WISCASSET, ME\|BRUNSWICK, ME\|NEWCASTLE, ME\|BATH, ME\|MANCHESTER, ME	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Sep 21, 2010	Oct 27, 2011	no	PORTLAND, ME	Previous registration
CUNA BROKERAGE SERVICES, INC.	Former SEC adviser	Mar 6, 2007	Aug 30, 2010	no	TOPSHAM, ME\|FREEPORT, ME\|WAVERLY, IA\|BRUNSWICK, ME	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Aug 20, 2003	Sep 20, 2006	no	PORTLAND, ME\|VOORHEES, NJ\|CONSHOHOCKEN, PA	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
CETERA INVESTMENT ADVISERS LLC	LPL FINANCIAL LLC	Oct 16, 2015	Oct 16, 2015	0	Firm change	Other
CETERA INVESTMENT SERVICES LLC	CETERA INVESTMENT ADVISERS LLC	Jan 21, 2014	Jan 21, 2014	0	Bulk transfer	Other
STRATEGIC ADVISERS LLC	CETERA INVESTMENT SERVICES LLC	Oct 27, 2011	Nov 10, 2011	14	Firm change	Other
CUNA BROKERAGE SERVICES, INC.	STRATEGIC ADVISERS LLC	Aug 30, 2010	Sep 21, 2010	22	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	CUNA BROKERAGE SERVICES, INC.	Sep 20, 2006	Mar 6, 2007	167	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
105644:6413:ME:2015-10-16	Oct 16, 2015	Oct 16, 2015	BRUNSWICK, ME	Firm change

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Oct 16, 2015 to presentfactForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Jan 21, 2014 to Oct 16, 2015factForm ADV
→ CETERA INVESTMENT SERVICES LLCRegistered adviserregistration: previous registration
Nov 10, 2011 to Jan 21, 2014factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Sep 21, 2010 to Oct 27, 2011factForm ADV
→ CUNA BROKERAGE SERVICES, INC.Registered adviserregistration: previous registration
Mar 6, 2007 to Aug 30, 2010factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Aug 20, 2003 to Sep 20, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2f1e46c8-715e-396d-168b-052dfedc8b9f
First observed: Aug 20, 2003
Last observed: Sep 15, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

MICHAEL PHILLIP CLARK

Advisor at LPL FINANCIAL LLC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2f1e46c8-715e-396d-168b-052dfedc8b9f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:30 PM UTC and rebuilt at most every 15 minutes.