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

MICHAEL GERARD RIFFEL

Advisor at LPL FINANCIAL LLC

SAN DIEGO, CA | HIGHLAND, IL

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 14, 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: Apr 3, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Apr 3, 2003
First registration: Jul 14, 2003
Dual registered: yes, broker-dealer
Other names: MIKE GERARD RIFFEL
IAPD individual key: 4632782

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 31, 2023	n/a	yes	HIGHLAND, IL\|SAN DIEGO, CA\|HIGHLAND, IL	Current employment
KESTRA ADVISORY SERVICES, LLC	Bd affiliated wealth	Apr 18, 2016	Mar 31, 2023	no	HIGHLAND, IL\|AUSTIN, TX	Previous registration
NFP ADVISOR SERVICES, LLC	Former SEC adviser	Feb 28, 2005	Sep 22, 2016	no	HIGHLAND, IL\|HIGHLAND, IL	Previous registration
M FINANCIAL SERVICES, INC.	n/a	Jul 14, 2003	Feb 28, 2005	no	HIGHLAND, 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
KESTRA ADVISORY SERVICES, LLC	LPL FINANCIAL LLC	Mar 31, 2023	Mar 31, 2023	0	Firm change	Ibd to ibd
NFP ADVISOR SERVICES, LLC	KESTRA ADVISORY SERVICES, LLC	Sep 22, 2016	Apr 18, 2016	-157	Bulk transfer	Other
M FINANCIAL SERVICES, INC.	NFP ADVISOR SERVICES, LLC	Feb 28, 2005	Feb 28, 2005	0	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Mar 31, 2023 to presentfactForm ADV
→ KESTRA ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Apr 18, 2016 to Mar 31, 2023factForm ADV
→ NFP ADVISOR SERVICES, LLCRegistered adviserregistration: previous registration
Feb 28, 2005 to Sep 22, 2016factForm ADV
→ M FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jul 14, 2003 to Feb 28, 2005factForm ADV

Dated events

Occurred
Mar 31, 2023
Advisor changed firm
Michael Gerard Riffel left Kestra Advisory Services, Llc for Lpl Financial Llc (registered 2023-03-31)
Form ADVobserved 6 days ago