Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mike? Claim Your ProfileMike Pardo is a financial advisor with LPL Financial LLC. Mike has been in the financial services industry since 2004. Mike has a Series 7, Series 55, Series 63, and Series 66 license. Mike has also passed the Series 24 principal exam, the SIE exam, and the Series 57TO and Series 99TO exams. Mike has experience working with a variety of clients, including high-net-worth individuals, corporations, charitable organizations, and retirement plans. Mike's previous experience includes positions with SA Stone Wealth Management Inc., MUFG Securities Americas Inc., First Allied Securities, Inc., Cetera Advisor Networks LLC, Cetera Advisors LLC, Cetera Financial Specialists LLC, Cetera Investment Services LLC, Summit Brokerage Services, Inc., Girard Securities, Inc., Legend Equities Corporation, Investors Capital Corp., VSR Financial Services, Inc., Commonwealth Financial Network, LPL Financial LLC, and World Trade Financial Corporation. Mike is committed to providing clients with personalized financial 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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
02/13/2023 - Present
LPL Financial LLC (SAN DIEGO CA)
AL
01/11/2021 - 06/23/2022
SA STONE WEALTH MANAGEMENT INC. (BIRMINGHAM AL)
NY
11/23/2020 - 01/09/2021
MUFG SECURITIES AMERICAS INC. (NEW YORK NY)
CA
01/26/2016 - 04/24/2020
FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)
CA
11/12/2015 - 04/24/2020
CETERA ADVISOR NETWORKS LLC (EL SEGUNDO CA)
CO
11/12/2015 - 04/24/2020
CETERA ADVISORS LLC (GREENWOOD VILLAGE CO)
IL
11/12/2015 - 04/24/2020
CETERA FINANCIAL SPECIALISTS LLC (SCHAUMBURG IL)
MN
11/12/2015 - 04/24/2020
CETERA INVESTMENT SERVICES LLC (ST. CLOUD MN)
FL
01/26/2016 - 12/03/2019
SUMMIT BROKERAGE SERVICES, INC. (BOCA RATON FL)
CA
01/26/2016 - 11/02/2017
GIRARD SECURITIES, INC. (SAN DIEGO CA)
FL
01/26/2016 - 12/14/2016
LEGEND EQUITIES CORPORATION (PALM BEACH GARDENS FL)
MA
01/26/2016 - 11/09/2016
INVESTORS CAPITAL CORP. (LYNNFIELD MA)
KS
01/26/2016 - 11/09/2016
VSR FINANCIAL SERVICES, INC. (OVERLAND PARK KS)
CA
11/29/2013 - 05/21/2015
COMMONWEALTH FINANCIAL NETWORK (SAN DIEGO CA)
CA
04/17/2008 - 10/16/2013
LPL FINANCIAL LLC (SAN DIEGO CA)
CA
01/03/2006 - 01/29/2008
WORLD TRADE FINANCIAL CORPORATION (SAN DIEGO CA)
CA
04/20/2005 - 12/21/2005
WCM PARTNERS, LLC (DELMAR CA)
NY
03/09/2004 - 03/02/2005
BROCKINGTON SECURITIES, INC. (RONKONKOMA NY)
CA
10/28/2002 - 06/16/2003
GRANITE FINANCIAL GROUP, INC. (SAN DIEGO CA)
BOTH
Issued 04/10/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/08/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/17/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/28/2004
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/25/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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