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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

MICHAEL JAMES ALEXANDER

Advisor at LPL FINANCIAL LLC

WEST DES MOINES, IA

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Search this name across graphsid dfx:ria:7f71a712-3c17-22cd-bd1d-1b4be4a593ea

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 1, 1999 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: Aug 3, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63
First exam: Aug 3, 1990
First registration: Jan 1, 1999
Dual registered: yes, broker-dealer
Other names: MIKE ALEXANDER
IAPD individual key: 2069933

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 1, 2019	n/a	yes	WEST DES MOINES, IA	Current employment
SUMMIT FINANCIAL GROUP INC	Former SEC adviser	Sep 2, 2016	Mar 8, 2019	no	WINDSOR HEIGHTS, IA	Previous registration
VSR ADVISORY SERVICES	Former SEC adviser	Feb 7, 2003	Sep 1, 2016	no	WEST DES MOINES, IA\|WINDSOR HEIGHTS, IA\|OVERLAND PARK, KS\|DRIPPING SPRINGS, TX\|WEST DES MOINES, IA\|OVERLAND PARK, KS	Previous registration
THE MASTERS, INC.	n/a	Jan 1, 1999	Feb 7, 2003	no	W DES MOINES , IA	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
SUMMIT FINANCIAL GROUP INC	LPL FINANCIAL LLC	Mar 8, 2019	Mar 1, 2019	-7	Firm change	Ibd to RIA
VSR ADVISORY SERVICES	SUMMIT FINANCIAL GROUP INC	Sep 1, 2016	Sep 2, 2016	1	Bulk transfer	Other
THE MASTERS, INC.	VSR ADVISORY SERVICES	Feb 7, 2003	Feb 7, 2003	0	Bulk transfer	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Mar 1, 2019 to presentfactForm ADV
→ SUMMIT FINANCIAL GROUP INCRegistered adviserregistration: previous registration
Sep 2, 2016 to Mar 8, 2019factForm ADV
→ VSR ADVISORY SERVICESRegistered adviserregistration: previous registration
Feb 7, 2003 to Sep 1, 2016factForm ADV
→ THE MASTERS, INC.Registered adviserregistration: previous registration
Jan 1, 1999 to Feb 7, 2003factForm ADV

Dated events

No dated event names this entity yet.