Michael Joseph Pumo

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 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

• 10/2011 → 10/2023
  Ubs Financial Services Inc
  Austin, TX
• 10/2023 → Present
  Lpl Financial Llc
  Austin, TX

Previous Registrations

• 2011-10-14 → 2023-10-30
  Ubs Financial Services Inc.
  Austin, TX
• 2009-06-01 → 2011-11-04
  Morgan Stanley
  Austin, TX
• 2006-02-07 → 2009-06-01
  Citigroup Global Markets Inc.
  Austin, TX

Other Businesses

1) 09/19/2023 - 360 Wealth Advisors - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 08/2013 - 160 Hr/Mth 2) 09/19/2023 - IPMJ Capital. LLC - Business Entity For Tax/Investment Purposes Only - Non-Inv Rel - At Reported Business Location(s) - Start: 05/2016 3) 09/19/2023 - THE ROOFTOP ON SIXTH, LLP - Business Owner - RESTAURANT / BAR - Non-Inv Rel - Austin, TX - Start: 10/2020 4) 09/19/2023 - THE ROOFTOP ON THE SQUARE & SAN MARCOS ASSETS LLC - Business Owner - Non-Inv Rel - San Marcos, TX - Start:05/2011

Exams

• S66 Uniform Combined State Law Examination
  2006-02-02

Designations

• Certified Financial Planner