Michael Anthony Pugliese

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2025-05-15

MA RA
APPROVED

Since 2025-05-15

Branch Locations

636 East Broadway, South Boston, MA 02127 • United States

185 Central Street, Norwood, MA 02062 • United States

45 South Main Street, Sharon, MA 02067 • United States

1428 Main Street, Walpole, MA 02081 • United States

420 Washington Street, Dedham, MA 02026 • United States

673 High Street, Westwood, MA 02090 • United States

55 Elm Street, Dedham, MA 02026 • United States

1077 Great Plain Avenue, Needham, MA 02492 • United States

260 Bussey Street, Dedham, MA 02026 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Santander Securities	San Juan	PR	06/2016	05/2017
Santander Bank, Na	Milton	MA	06/2016	05/2017
Sorrento Pacific Financial, Llc	San Diego	CA	05/2017	Present
Dedham Savings Bank	Dedham	MA	05/2017	01/2023
Lpl Financial Llc	Norwood	MA	05/2025	Present

06/2016 → 05/2017

Santander Securities

San Juan, PR
06/2016 → 05/2017

Santander Bank, Na

Milton, MA
05/2017 → Present

Sorrento Pacific Financial, Llc

San Diego, CA
05/2017 → 01/2023

Dedham Savings Bank

Dedham, MA
05/2025 → Present

Lpl Financial Llc

Norwood, MA

Previous Registrations

2017-06-14 → 2025-05-15

Sorrento Pacific Financial, Llc

Dedham, MA

Dedham, MA

Dedham, MA

South Boston, MA

Westwood, MA

Walpole, MA

Needham, MA

Norwood, MA

Needham, MA

Sharon, MA

Dedham, MA

Dedham, MA

Walpole, MA

Westwood, MA

South Boston, MA

Norwood, MA
2016-07-05 → 2017-06-01

Santander Securities Llc

Wellesley, MA

Wollaston, MA

East Milton, MA

Framingham, MA

Needham, MA

Dorchester, MA

Braintree, MA

Needham, MA

Roxbury, MA
2012-09-20 → 2016-06-09

Cuso Financial Services, L.P.

Amherst, MA

Hadley, MA

Northampton, MA

Worcester, MA

Springfield, MA

Amherst, MA
2012-02-10 → 2012-05-25

Lpl Financial Llc

Manchester, CT
2010-05-24 → 2011-08-26

Allstate Financial Advisors, Llc

Simsbury, CT
2008-11-12 → 2010-04-28

Voya Financial Advisors, Inc.

Wethersfield, CT

Glastonbury, CT

Glastonbury, CT
2007-04-12 → 2008-06-27

Connecticut Investment Management

Glastonbury, CT
2006-05-17 → 2007-04-05

Newalliance Investments, Inc.

Mansfield, CT

Glastonbury, CT
2005-06-06 → 2006-04-05

People'S Securities, Inc.

Bridgeport, CT
2004-06-01 → 2005-06-20

Citizens Securities, Inc.

Old Lyme, CT
2002-07-25 → 2004-05-10

People'S Securities, Inc.

Glastonbury, CT

Other Businesses

1. 05/15/2025- Dedham Savings Investment Center-DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 06/23/2025- 160 Hours Per Month- 8 Hours During Trading 2. 05/15/2025- Pointe Place- Non-Profit Board Member- Not INV Related- At Newport, RI- Start date 01/29/2025- 1 Hour Per Month 3. 05/15/2025- Brookfield Village HOA- Non-Profit Board Member- Not INV Related- Home Based- Start date 10/01/2024- 3 Hours Per Month 4. 05/15/2025-Michael Pugliese- Non-Variable Insurance- INV Related- At Reported Business Location(s)- Start date 01/01/2016- 1 Hour Per Month

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-03-30
S63	Uniform Securities Agent State Law Examination	1986-12-30

S65 Uniform Investment Adviser Law Examination

1998-03-30
S63 Uniform Securities Agent State Law Examination

1986-12-30

Other Names

Mike Pugliese
Pug Pugliese
Pugs Pugliese
Michael A Pugliese
Mike Pug

View on SEC IAPD