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Detailed Report
MICHAEL JOSEPH PULS
MICHAEL J PULS
CRD#: 2684129
IA
Investment Adviser
B
Broker
COMMONWEALTH FINANCIAL NETWORKCRD#: 8032 595 East Colorado Blvd.
Suite 432
PASADENA, CA 91101
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2001 - 2003 (2 years)2 FIRMS2003 - Present (21 years)BWELLS FARGO SECURITIES INC. (CRD# 17438)2001 - 2001 (<1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1996 - 2001 (4 years)
Disclosure(s)
View By:
10/31/2003
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Arizona 6/8/2006
B
Michigan 10/2/2019
B
California 6/10/2003
B
New Mexico 10/14/2008
IA
California 6/10/2003
B
North Carolina 1/3/2013
B
Idaho 11/18/2022
B
Virginia 9/21/2010
B
Maryland 12/23/2008

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
COMMONWEALTH FINANCIAL NETWORK (CRD#:8032)
595 East Colorado Blvd. Suite 432, PASADENA, CA 91101
Registered with this firm since 6/10/2003
B
COMMONWEALTH FINANCIAL NETWORK (CRD#:8032)
595 East Colorado Blvd. Suite 432, PASADENA, CA 91101
Registered with this firm since 6/10/2003
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/15/2001 - 06/10/2003 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) PASADENA, CA
B
 05/02/2001 - 06/10/2003 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN FRANCISCO, CA
B
 03/05/2001 - 05/02/2001 WELLS FARGO SECURITIES INC. (CRD#:17438) SAN FRANCISCO, CA
B
 05/09/1996 - 03/09/2001 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.