Michael Joseph Puckly
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Mike Puckly
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
40 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
WELLSPRING FINANCIAL, LLC
Contact Information
Main Address
South Windsor, CTPhone Number
(860) 305-2515# of Employees
3Documents
Regulatory Assets Under Management
Total Number of Accounts
293AUM (Assets Under Management)
$69,351,082Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(6/27/2017)
(10/9/2020)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 1986About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Apr 1994About the Series 26 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Michael Joseph Puckly's CRS (Customer Relationship Summary).
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