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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)37 years in industry

MICHAEL WILLIS FRANK

Advisor at LPL FINANCIAL LLC

DELAVAN, WI

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Search this name across graphsid dfx:ria:4049ff03-326e-1ab9-e6f2-e2807ae5003e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Apr 12, 1998 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: Sep 7, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Sep 7, 1989
First registration: Apr 12, 1998
Dual registered: yes, broker-dealer
Other names: MIKE FRANK
IAPD individual key: 1882883

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 3, 2023	n/a	yes	DELAVAN, WI	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Sep 18, 2017	Jan 18, 2023	no	SAINT CHARLES, IL\|DELAVAN, WI\|S. BARRINGTON, IL	Previous registration
SAGE PRIVATE WEALTH GROUP, LLC	Independent wealth	Nov 18, 2014	Sep 12, 2017	no	WHEATON, IL	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jul 21, 2014	Sep 21, 2017	no	SAINT CHARLES, IL	Previous registration
FRANK ADVISORY SERVICES, INC.	n/a	Jan 2, 2002	Dec 31, 2014	no	ST. CHARLES, IL\|ST. CHARLES, IL	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Apr 12, 1998	Aug 5, 2014	no	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
CETERA INVESTMENT ADVISERS LLC	LPL FINANCIAL LLC	Jan 18, 2023	Jan 3, 2023	-15	Firm change	Ibd to RIA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	SAGE PRIVATE WEALTH GROUP, LLC	Sep 21, 2017	Nov 18, 2014	-1,038	Firm change after gap	Other
SAGE PRIVATE WEALTH GROUP, LLC	CETERA INVESTMENT ADVISERS LLC	Sep 12, 2017	Sep 18, 2017	6	Firm change	Other
FRANK ADVISORY SERVICES, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Dec 31, 2014	Jul 21, 2014	-163	Firm change after gap	Other
LPL FINANCIAL LLC	FRANK ADVISORY SERVICES, INC.	Aug 5, 2014	Jan 2, 2002	-4,598	Firm change after gap	Other

Team moves

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

Team	Left	Joined	From	Kind
149018:173399:IL:2017-09-21	Sep 21, 2017	Nov 18, 2014	SAINT CHARLES, IL	Firm change after gap

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Apr 12, 1998 to Aug 5, 2014factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Sep 18, 2017 to Jan 18, 2023factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jul 21, 2014 to Sep 21, 2017factForm ADV
→ SAGE PRIVATE WEALTH GROUP, LLCRegistered adviserregistration: previous registration
Nov 18, 2014 to Sep 12, 2017factForm ADV
→ FRANK ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jan 2, 2002 to Dec 31, 2014factForm ADV

Dated events

Occurred
Jan 18, 2023
Advisor changed firm
Michael Willis Frank left Cetera Investment Advisers Llc for Lpl Financial Llc (registered 2023-01-03)
Form ADVobserved 5 days ago