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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

MICHAEL JAMES WILLIAMS

Advisor at LPL FINANCIAL LLC

ROCKLIN, CA | WOODLAND, CA

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Search this name across graphsid dfx:ria:f8611d5a-27a3-8044-aff0-9e51e5a73acb

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 12, 2007 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: May 6, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: May 6, 2005
First registration: Feb 12, 2007
Dual registered: yes, broker-dealer
Other names: MICHAEL WILLIAMS
IAPD individual key: 4926701

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	Dec 16, 2019	n/a	yes	ROCKLIN, CA\|WOODLAND, CA	Current employment
CANTELLA & CO., INC.	Former SEC adviser	May 29, 2012	Dec 23, 2019	no	YUBA CITY, CA\|WOODLAND, CA\|Malden, MA\|WOODLAND, CA\|YUBA CITY, CA\|Yuba City, CA\|Roseville, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 23, 2009	May 29, 2012	no	ROSEVILLE, CA\|WOODLAND, CA\|YUBA CITY, CA\|ROSEVILLE, CA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Sep 16, 2008	Oct 23, 2009	no	YUBA CITY, CA\|LINCOLN, CA\|ROSEVILLE, CA\|WOODLAND, CA	Previous registration
EDWARD JONES	National bd RIA	Feb 12, 2007	Sep 16, 2008	no	WOODLAND, 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
CANTELLA & CO., INC.	LPL FINANCIAL LLC	Dec 23, 2019	Dec 16, 2019	-7	Firm change	Ibd to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CANTELLA & CO., INC.	May 29, 2012	May 29, 2012	0	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 23, 2009	Oct 23, 2009	0	Bulk transfer	Other
EDWARD JONES	BANC OF AMERICA INVESTMENT SERVICES, INC.	Sep 16, 2008	Sep 16, 2008	0	Firm change	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Dec 16, 2019 to presentfactForm ADV
→ CANTELLA & CO., INC.Registered adviserregistration: previous registration
May 29, 2012 to Dec 23, 2019factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 23, 2009 to May 29, 2012factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Sep 16, 2008 to Oct 23, 2009factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Feb 12, 2007 to Sep 16, 2008factForm ADV

Dated events

No dated event names this entity yet.