DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

MICHAEL EUGENE GEITNER

Advisor at LPL FINANCIAL LLC

NAPA, CA

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:d2a9ae8f-2541-0eda-a127-f0cef3aef49f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Sep 8, 2006 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: Jul 8, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Jul 8, 2006
First registration: Sep 8, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 5092216

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	Aug 28, 2025	n/a	yes	NAPA, CA	Current employment
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT	Former SEC adviser	Apr 4, 2018	Oct 23, 2025	no	Napa, CA\|OLYMPIA, WA\|Napa, CA	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Feb 6, 2013	Apr 19, 2018	no	ARLINGTON, VA\|PALO ALTO, CA	Previous registration
NEW ENGLAND SECURITIES CORPORATION	Former SEC adviser	Nov 12, 2007	Mar 25, 2011	no	FOSTER CITY, CA	Previous registration
WADDELL & REED	Former SEC adviser	Sep 8, 2006	Nov 2, 2007	no	NAPA, CA\|CONCORD, CA	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
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT	LPL FINANCIAL LLC	Oct 23, 2025	Aug 28, 2025	-56	Firm change after gap	RIA to ibd
E*TRADE CAPITAL MANAGEMENT, LLC	FINANCIAL ADVOCATES INVESTMENT MANAGEMENT	Apr 19, 2018	Apr 4, 2018	-15	Firm change	Other
NEW ENGLAND SECURITIES CORPORATION	E*TRADE CAPITAL MANAGEMENT, LLC	Mar 25, 2011	Feb 6, 2013	684	Firm change after gap	Other
WADDELL & REED	NEW ENGLAND SECURITIES CORPORATION	Nov 2, 2007	Nov 12, 2007	10	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
151298:6413:CA:2025-10-23	Oct 23, 2025	Aug 28, 2025	NAPA, CA	Firm change after gap

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Aug 28, 2025 to presentfactForm ADV
→ FINANCIAL ADVOCATES INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Apr 4, 2018 to Oct 23, 2025factForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 6, 2013 to Apr 19, 2018factForm ADV
→ NEW ENGLAND SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Nov 12, 2007 to Mar 25, 2011factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Sep 8, 2006 to Nov 2, 2007factForm ADV

Dated events

Occurred
Oct 23, 2025
Advisor changed firm
Michael Eugene Geitner left Financial Advocates Investment Management for Lpl Financial Llc (registered 2025-08-28)
Form ADVobserved 6 days ago