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MICHAEL JOSEPH PUMO
CRD#: 5068304
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 1601 RIO GRANDE, SUITE 348
AUSTIN, TX 78701
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2009 (3 years)2 FIRMS2009 - 2011 (2 years)2 FIRMS2011 - 2023 (12 years)2 FIRMS2023 - Present (1 year)
License(s)

State Registrations

B
Arizona 10/6/2023

B
Louisiana 4/9/2024

B
California 10/6/2023

B
Maryland 10/7/2024

B
Colorado 10/10/2023

B
Michigan 10/6/2023

B
Connecticut 10/6/2023

B
New Mexico 10/6/2023

B
Florida 10/6/2023

B
Texas 10/6/2023

B
Hawaii 10/6/2023

IA
Texas 10/6/2023

B
Illinois 10/6/2023

B
Wyoming 4/2/2024

B
Kansas 10/6/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
1601 RIO GRANDE, SUITE 348, AUSTIN, TX 78701
Registered with this firm since 10/6/2023

B
LPL FINANCIAL LLC (CRD#:6413)
1601 RIO GRANDE, SUITE 348, AUSTIN, TX 78701
Registered with this firm since 10/6/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/14/2011 - 10/30/2023 UBS FINANCIAL SERVICES INC. (CRD#:8174) AUSTIN, TX
B
10/14/2011 - 10/30/2023 UBS FINANCIAL SERVICES INC. (CRD#:8174) AUSTIN, TX
IA
06/01/2009 - 11/04/2011 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) AUSTIN, TX
B
06/01/2009 - 11/04/2011 MORGAN STANLEY SMITH BARNEY (CRD#:149777) AUSTIN, TX
IA
02/07/2006 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) AUSTIN, TX
B
01/23/2006 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) AUSTIN, TX
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.