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Michael Vatter

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Information

Firm:
Type: Dual Registration
Description

Michael Vatter is a financial professional at LPL Financial LLC, a broker-dealer with over 17,200 registered representatives nationwide. Michael has held an industry securities registration for 7 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Veritex Community Bank 1 month, 3 weeks Oct 2014 - Present
LPL Financial LLC 1 month, 3 weeks Oct 2014 - Present
Transamerica Financial Advisors, Inc. 3 years, 4 months Jun 2011 - Oct 2014
Sws Financial Services 1 year, 3 months May 2010 - Aug 2011
Bbva Compass Investment Solutions, Inc. 11 months Jun 2009 - May 2010
Guaranty Brokerage Services, Inc. 1 year, 1 month Apr 2008 - May 2009
Metlife Securities Inc. 3 months Dec 2007 - Mar 2008
Chase Investment Services Corp. 6 months May 2007 - Nov 2007
Merrill Lynch, Pierce, Fenner & Smith 8 months Aug 2006 - Apr 2007
Pharo & Partners 1 year, 6 months Jan 2005 - Jul 2006
Deutsche Bank 10 years, 5 months Jul 1994 - Dec 2004
Exams
ExamSeriesPassed Date
Uniform Combined State Law ExaminationSeries 66 12/11/2006
General Securities Representative ExaminationSeries 7 10/30/2006

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Michael Vatter has not answered any questions on Financial Q&A.

Top Guides

Michael Vatter has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

2 Customer Disputes

No Disclosures Found

As of Date
11/04/2014
11/02/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions