Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Caulfield is a financial advisor with LPL Enterprise, LLC. Michael has been working in the financial industry since January 2000 and has a wide range of experience in providing financial advice. Michael is licensed in South Carolina and Texas and is a registered representative with FINRA. Michael specializes in providing financial planning, portfolio management, and consulting services to individuals and businesses. Michael also offers educational seminars to help clients learn more about financial planning. Michael's goal is to help clients achieve their financial goals by providing personalized advice and guidance.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
TX
10/18/2024 - Present
LPL Enterprise, LLC (Flower Mound TX)
TX
11/17/2021 - 01/10/2024
CHARLES SCHWAB & CO., INC. (Westlake TX)
TX
01/23/2012 - 12/20/2023
TD AMERITRADE, INC. (Southlake TX)
TX
07/21/2010 - 01/11/2012
CLARK SECURITIES, INC. (DALLAS TX)
CA
03/20/2009 - 05/01/2009
1ST GLOBAL CAPITAL CORP. (SAN DIEGO CA)
CA
07/11/2005 - 02/12/2009
LPL FINANCIAL CORPORATION (SAN DIEGO CA)
MO
04/27/2001 - 08/15/2003
AMERICAN CENTURY INVESTMENT SERVICES INC. (KANSAS CITY MO)
MN
05/09/2000 - 02/14/2001
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
05/09/2000 - 02/14/2001
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 05/15/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/08/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/04/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/29/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/08/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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