James M. Fuller
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Michael Fuller, who also goes by Jim Fuller, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2016 - April 7, 2020
KESTRA ADVISORY SERVICES, LLC
May 1, 2009 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
May 1, 2009 - April 7, 2020
KESTRA INVESTMENT SERVICES, LLC
December 10, 2008 - May 4, 2009
CETERA ADVISORS LLC
January 1, 2004 - May 4, 2009
CETERA ADVISORS LLC
January 17, 2003 - March 31, 2009
SNIDER, FULLER & ASSOCIATES
December 18, 1991 - January 1, 2004
VESTAX SECURITIES CORPORATION
January 2, 1987 - January 1, 1990
CARILLON INVESTMENTS, INC.
October 23, 1986 - January 1, 1990
CARILLON INVESTMENTS, INC.
May 19, 1983 - February 11, 1987
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
