Michael Puttmann

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2021 → 10/2021
  Northwestern Mutual
  Cincinnati, OH
• 05/2016 → 12/2024
  Michael Puttmann
  Cincinnati, OH
• 02/2023 → 12/2024
  Modern Woodmen Of America
  Rock Island, IL
• 03/2023 → 12/2024
  Mwa Financial Services Inc
  Rock Island, IL
• 06/2025 → 07/2025
  National Life Of Vermont
  Cincinnati, OH
• 06/2025 → 07/2025
  Equity Services Inc
  Montpelier, VT
• 12/2024 → 06/2025
  Unemployed
  Cincinnati, OH
• 07/2025 → Present
  Lpl Enterprise Llc
  Columbus, OH

Previous Registrations

• 2025-06-20 → 2025-07-16
  Equity Services, Inc.
  Media, PA
  Middletown, OH
• 2015-05-20 → 2015-07-14
  Formidable Asset Management, Llc
  Cincinnati, OH

Other Businesses

1. 07/09/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - INV REL - Cincinnati, OH - Start Date 07/09/2025 - 160 HRS/MO | 160 HRS/MO DURING TRADING 2. 07/09/2025 - N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - INV REL - Cincinnati, OH - Start Date 07/09/2025 - 160 HRS/MO | 160 HRS/MO DURING TRADING 3. 07/09/2025 - Michael Puttmann - Business Owner - NOT INV REL - Cincinnati, OH - Start Date 05/01/2016 - 5 HRS/MO | 0 HRS/MO DURING TRADING

Exams

• S66 Uniform Combined State Law Examination
  2023-09-01
• S65 Uniform Investment Adviser Law Examination
  2015-02-02
• S65 Uniform Investment Adviser Law Examination
  2015-02-02

Other Names

• Michael P Puttmann