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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

Michael Stephen Wallman

Advisor at LPL FINANCIAL LLC

ORLANDO, FL

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Search this name across graphsid dfx:ria:7855fa22-e4ab-1e5e-84dd-0dfb7b7dcc50

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 30, 2005 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: Oct 31, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65|S66
First exam: Oct 31, 1996
First registration: Jun 30, 2005
Dual registered: yes, broker-dealer
IAPD individual key: 2748286

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	May 5, 2025	n/a	yes	ORLANDO, FL	Current employment
GROVE POINT ADVISORS, LLC	Former SEC adviser	Apr 1, 2021	May 2, 2025	no	ROCKVILLE, MD\|ROCKVILLE, MD\|Orlando, FL	Previous registration
H. BECK, INC.	Former SEC adviser	Sep 15, 2016	Apr 1, 2021	no	Rockville, MD\|Orlando, FL\|ROCKVILLE, MD	Previous registration
INVESTORS CAPITAL ADVISORY	Former SEC adviser	Oct 3, 2011	Sep 13, 2016	no	ORLANDO, FL\|LYNNFIELD, MA\|LYNNFIELD, MA\|ORLANDO, FL	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Jan 17, 2008	Aug 30, 2011	no	ORLANDO, FL\|MIAMI, FL	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	Jun 30, 2005	Dec 13, 2007	no	MIAMI, FL\|MIAMI BEACH, FL\|MIAMI, FL\|MIAMI, FL	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
GROVE POINT ADVISORS, LLC	LPL FINANCIAL LLC	May 2, 2025	May 5, 2025	3	Bulk transfer	Ibd to ibd
H. BECK, INC.	GROVE POINT ADVISORS, LLC	Apr 1, 2021	Apr 1, 2021	0	Bulk transfer	Ibd to ibd
INVESTORS CAPITAL ADVISORY	H. BECK, INC.	Sep 13, 2016	Sep 15, 2016	2	Firm change	Other
SECURITIES AMERICA ADVISORS, INC.	INVESTORS CAPITAL ADVISORY	Aug 30, 2011	Oct 3, 2011	34	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES, INC.	SECURITIES AMERICA ADVISORS, INC.	Dec 13, 2007	Jan 17, 2008	35	Firm change	Other

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
May 5, 2025 to presentfactForm ADV
→ GROVE POINT ADVISORS, LLCRegistered adviserregistration: previous registration
Apr 1, 2021 to May 2, 2025factForm ADV
→ H. BECK, INC.Registered adviserregistration: previous registration
Sep 15, 2016 to Apr 1, 2021factForm ADV
→ INVESTORS CAPITAL ADVISORYRegistered adviserregistration: previous registration
Oct 3, 2011 to Sep 13, 2016factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Jan 17, 2008 to Aug 30, 2011factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jun 30, 2005 to Dec 13, 2007factForm ADV

Dated events

No dated event names this entity yet.