Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Joshua Pullmann
Joshua Pullman
CRD#: 7803936
IA
Investment Adviser
B
Broker
LPL ENTERPRISE, LLCCRD#: 8733 10000 W INNOVATION DRIVE
SUITE 190
WAUWATOSA, WI 53226
Registration History
Oct2023AprJulOct2024AprJulOct2025AprJulOct20262 FIRMS2023 - 2024 (1 year)2 FIRMS2024 - Present (<1 year)
License(s)

State Registrations

B
Florida 12/13/2024
B
Wisconsin 11/14/2024
B
Illinois 11/14/2024
IA
Wisconsin 11/14/2024
B
Montana 11/14/2024

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
LPL ENTERPRISE, LLC (CRD#:8733)
10000 W INNOVATION DRIVE SUITE 190, WAUWATOSA, WI 53226
Registered with this firm since 11/14/2024
B
LPL ENTERPRISE, LLC (CRD#:8733)
10000 W INNOVATION DRIVE SUITE 190, WAUWATOSA, WI 53226
Registered with this firm since 11/14/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/25/2023 - 11/14/2024 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) WAUWATOSA, WI
B
 09/19/2023 - 11/14/2024 PRUCO SECURITIES, LLC. (CRD#:5685) WAUWATOSA, WI
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.