David R. Pullman
Professional summary
David Richard Pullman is a registered financial professional currently at PULLMAN SECURITIES, LLC located in Los Angeles, California.
David is registered as a RR (Registered Representative) and started their career in finance in 1996. David has worked at 3 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Richard Pullman's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 4, 1999 - Present
PULLMAN SECURITIES, LLC
Office #1: 9250 Robin Drive, Los Angeles, CA 90069Office #2: 9250 Robin Drive, Los Angeles, CA 90069January 31, 1997 - August 11, 1998
OPPENHEIMER & CO. INC.
May 7, 1996 - January 9, 1997
GRUNTAL & CO., L.L.C.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/8/2007)
(12/1/1999)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
PULLMAN SECURITIES, LLC
CRD#: 45923 / SEC#: , 8-51234
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PULLMAN, DAVID RICHARD | MANAGING MEMBER, GSP, CCO (07/1998) | 1294621 |
Red Flags
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