Todd M. Fullam
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.
Todd Matthew Fullam was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1987. Todd had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2021 - June 14, 2022
RAYMOND JAMES & ASSOCIATES, INC.
April 8, 2021 - June 14, 2022
RAYMOND JAMES & ASSOCIATES, INC.
February 23, 2016 - December 7, 2020
RAYMOND JAMES & ASSOCIATES, INC.
February 17, 2016 - December 7, 2020
RAYMOND JAMES & ASSOCIATES, INC.
November 4, 2015 - December 21, 2015
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
April 15, 2015 - February 24, 2016
SIGNATOR INVESTORS, INC.
April 14, 2015 - February 24, 2016
SIGNATOR INVESTORS, INC.
February 6, 2015 - April 15, 2015
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
January 21, 2015 - April 15, 2015
NYLIFE DISTRIBUTORS LLC
August 26, 2011 - October 11, 2013
VOYA FINANCIAL PARTNERS, LLC
October 12, 2009 - December 20, 2010
TRUSTMONT ADVISORY GROUP, INC.
October 12, 2009 - December 20, 2010
TRUSTMONT FINANCIAL GROUP, INC.
June 12, 2003 - October 22, 2007
J. B. HANAUER & CO.
March 1, 1993 - October 22, 2007
J. B. HANAUER & CO.
September 22, 1987 - February 8, 1993
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
