Michael Ubben

1. What are your firm names?

• Broker Dealer

  LPL Financial

2. What is your type of RIA registration?

• SEC

3. Are you a sole practitioner or a member of a firm or team?

• Sole Practitioner

4. What is your relationship to your Registered Investment Advisor?

• Independent Contractor

5. What are your years of applicable financial service experience?

• 8 Years

6. Do you have any college degree(s)?

7. Do you belong to any industry associations?

• No

8. What is your CRD or IARD number?

• 4988023

9. Do you hold any active securities licenses?

• Series 6, Series 7, Series 63, Series 66,

10. Which categories of financial services do you provide?

• Financial Planning Advice & Services
• Investment Advice & Services
• Insurance Advice & Services

11. Which planning services do you provide?

• Financial Plans
• Retirement Plans
• College Plans

12. Which investment advisory services do you provide?

• Investment Strategy & Policy
• Risk Management
• Rebalancing
• Money Manager Selection
• Performance Reports
• Asset Allocation

13. If you make investment decisions for clients, how do you invest their assets?

• Did Not Provide

14. How many clients (not accounts) do you currently service?

• Did Not Provide

15. What amount of client assets is currently under your management or advisement?

• $

16. What is minimum fee for your planning services?

• Did Not Provide

17. What is your minimum asset requirement for your investment services?

• $50,000

18. What is your minimum net worth requirement for your planning services?

• Did Not Provide

19. What type of compensation do you receive for your planning services?

• Asset Based Fees,

20. What type of compensation do you receive for your investment advisory services?

• Asset Based Fees,

21. Do you work with remote clients over the Internet and telephone?

• Yes

22. Do you hold any active insurance licenses?

• No Active Insurance Licenses

23. Are you a Registered Investment Advisor or an Investment Advisor Representative?

• Yes

24. Do you acknowledge you are a fiduciary when you provide financial advice and services for fees?

• Yes

25. What states are covered by your registration(s) to sell investment advisory services?

• Colorado
• Washington

26. What states are covered by your registration(s) to sell investment and brokerage products?

27. What states are covered by your registration(s) to sell insurance products?

28. Do you have any compliance disclosures for the past 5 years?

• Investment Disclosures: No
• Insurance Disclosures: No

29. Do you have any criminal disclosures since you became an adult?

• Misdemeanors: No
• Felonies: No

30. How do investors view your ADV Part II?

Available Upon Request

31. What languages do you speak fluently?

• Did Not Provide

32. What is your primary role?

• Did Not Provide

33. Which investment products do you sell?

• Mutual Funds
• Hedge Funds
• Commodities
• REITs
• Private Placements
• Other

34. Which insurance products do you sell?

• Life
• Fixed Annuities
• Variable Annuities
• Disability Income
• Health

35. Do you provide tax advice and services?

• No

36. Do you provide legal advice and services?

• Did Not Provide

37. Do you provide any limited engagement services?

• Did Not Provide

38. What types of clients do you work with?

• Individuals
• Foundations
• Companies (Non-Pension)

39. Where does your first meeting with a prospective client take place?

• Investor's Preference

40. Which companies act as custodians for your clients assets?

41. What types of reports do you provide your clients and what is the frequency?

• Performance (Not Applicable)
• Brokerage Statement (Not Applicable)
• Market Environment (Not Applicable)
• Newsletters (Not Applicable)
• Other (Not Applicable)

42. General Comments:

Did Not Provide

Certification