James M. Pettus

M. E. ALLISON & CO.

Corpus Christi, TX 78401

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CRD#: 1739120

Professional summary

James Milam Pettus III, who also goes by James Milan Pettus III, is a registered financial advisor currently at M. E. ALLISON & CO., INC. located in Corpus Christi, Texas.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. James has worked at 7 firms and has passed the Series 63, Series 65, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Milan Pettus Iii

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.

MANAGING PARTNER FOR FAMILY BUSINESS - LA RUCIA RANCH, INC. HARVEY WEIL STEERING COMMITTEE MESTENA LLC - BOARD MEMBER - FAMILY OIL AND GAS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Milam Pettus III's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view James Milam Pettus III's CRS (Customer Relationship Summary).

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

September 3, 2013 - Present

M. E. ALLISON & CO., INC.

Office #1: 800 N. Shoreline Blvd. Suite 1701 S, Corpus Christi, TX 78401

RIA

CRD#: 1047

Corpus Christi, TX

Current

November 30, 2012 - Present

M. E. ALLISON & CO., INC.

Office #1: 800 N. Shoreline Blvd. Suite 1701 S, Corpus Christi, TX 78401

RIA

CRD#: 1047

Corpus Christi, TX

Past

September 16, 2004 - January 2, 2013

PRESIDIO FINANCIAL SERVICES, INC.

CRD#: 10010

CORPUS CHRISTI, TX

Past

November 15, 2000 - December 31, 2004

THIRD COAST SECURITIES, LLC.

CRD#: 104082

CORPUS CHRISTI, TX

Past

April 29, 1999 - February 8, 2001

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

October 19, 1998 - May 3, 1999

HERNDON PLANT OAKLEY, LTD.

CRD#: 44971

CORPUS CHRISTI, TX

Past

May 11, 1998 - September 14, 1998

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

June 19, 1997 - May 11, 1998

PRINCIPAL FINANCIAL SECURITIES,INC.

CRD#: 260

DALLAS, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

M. E. ALLISON & CO., INC.

CRD#: 1047 / SEC#: 801-129805, 8-1402

RIA

Registered Investment Advisory firm - SEC (3/29/2024 Approved)

Texas

Registered Investment Advisory firm - SEC (7/8/2024 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(3/28/2025)

Georgia
(7/30/2025)

Texas
(11/30/2012)

IAR

Texas
(9/3/2013)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 6/26/1997

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/7/1997

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/25/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 6/12/2001

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/31/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

M. E. ALLISON & CO., INC.

CRD#: 1047 / SEC#: 801-129805, 8-1402

RIA

Registered Investment Advisory firm - SEC (3/29/2024 Approved)

Texas

Registered Investment Advisory firm - SEC (7/8/2024 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

950 East Basse Road Second Floor, San Antonio, TX 78209

Mailing Address

950 East Basse Road Second Floor, San Antonio, TX 78209-1831

Phone number

(210) 930-4000

Established

Texas since 03/09/1946

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (2 States and Territories)

FINRA licenses (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MEA FORM ADV PART 2A (3/24/2025)

Direct owners and executive officers

Name	Position	CRD#
ALLISON, CHARLES BENNETT	DIRECTOR	4615330
ALLISON, CHRISTOPHER RUMSEY	CEO/CCO	2278380
MURPHY, LINDE ALLEN	PRESIDENT/CCO	4049529

Regulatory assets under management

Total Number of Accounts	405
AUM (Assets Under Management)	$ 287,435,346

Disclosures

Regulatory Event

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

James M. Pettus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Milam Pettus III's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view James Milam Pettus III's CRS (Customer Relationship Summary).

Certified licenses

Experience

M. E. ALLISON & CO., INC.

PRESIDIO FINANCIAL SERVICES, INC.

THIRD COAST SECURITIES, LLC.

LPL FINANCIAL LLC

HERNDON PLANT OAKLEY, LTD.

WELLS FARGO CLEARING SERVICES, LLC

PRINCIPAL FINANCIAL SECURITIES,INC.

Primary Firm SEC Registration

M. E. ALLISON & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/26/1997

Series 65

Date: 3/7/1997

Series 52TO

Date: 9/25/2025

SIE

Date: 10/1/2018

Series 7

Date: 3/25/1997

Series 53

Date: 6/12/2001

Series 24

Date: 1/31/2001

FINRA

Current Firm

M. E. ALLISON & CO., INC.

Contact information

SEC notice filing (2 States and Territories)

FINRA licenses (16 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

M. E. ALLISON & CO., INC.

TRUST BUT VERIFY

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