Michael J. Puckly

WELLSPRING FINANCIAL

South Windsor, CT

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CRD#: 1451656

Professional summary

Michael Joseph Puckly, who also goes by Mike Puckly, is a registered financial advisor currently at WELLSPRING FINANCIAL, LLC located in South Windsor, Connecticut.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Michael has worked at 4 firms and has passed the Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Puckly

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

INSURANCE AGENT: LIFE, DISABILITY, LONG-TERM CARE Non-Profit Board Member: Riverfront Recapture Executive Committee

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Joseph Puckly's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 27, 2017 - Present

WELLSPRING FINANCIAL, LLC

RIA

CRD#: 288023

South Windsor, CT

Past

January 31, 2008 - February 19, 2018

LIFELINE FINANCIAL, LLC

RIA

CRD#: 129327

SOUTH WINDSOR, CT

Past

February 14, 2002 - November 6, 2007

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Past

December 11, 1998 - February 15, 2002

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

April 12, 1995 - December 11, 1998

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Past

October 26, 1994 - April 12, 1995

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

April 19, 1994 - October 31, 1994

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Past

March 5, 1986 - November 7, 1988

VP DISTRIBUTORS LLC

CRD#: 3036

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(6/27/2017)

IAR

Massachusetts
(10/9/2020)

IAR

New York
(6/1/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 7

Date: 2/15/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/4/1986

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/29/1999

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 4/15/1994

Investment Company Products/Variable Contracts Principal Examination

Current Firm

WELLSPRING FINANCIAL, LLC

CRD#: 288023 / SEC#:

Connecticut

Registered Investment Advisory firm - (6/27/2017 Approved)

Massachusetts

Registered Investment Advisory firm - (10/9/2020 Approved)

New York

Registered Investment Advisory firm - (3/12/2018 Approved)

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Contact information

Main Address

South Windsor, CT

Mailing Address

Phone number

(860) 305-2515

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	259
AUM (Assets Under Management)	$ 55,427,292

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Michael J. Puckly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Joseph Puckly's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIFELINE FINANCIAL, LLC

VP DISTRIBUTORS LLC

WS GRIFFITH SECURITIES, INC.

VP DISTRIBUTORS LLC

WS GRIFFITH SECURITIES, INC.

VP DISTRIBUTORS LLC

VP DISTRIBUTORS LLC

State Registrations and Notice Filings

Exams

Series 7

Date: 2/15/1999

Series 6

Date: 3/4/1986

Series 24

Date: 3/29/1999

Series 26

Date: 4/15/1994

Current Firm

WELLSPRING FINANCIAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WELLSPRING FINANCIAL, LLC

TRUST BUT VERIFY

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