James M. Pullen
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 Milton Pullen, CFP®, who also goes by Jim Pullen, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 4 firms and has passed the Series 63 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
July 9, 2004 - November 9, 2004
OGILVIE SECURITY ADVISORS CORPORATION
October 2, 1997 - May 21, 2004
EQUITY ANALYSTS INC.
May 10, 1996 - July 9, 1997
EQUITY ANALYSTS INC.
August 23, 1989 - November 27, 1995
MML INVESTORS SERVICES, LLC
April 6, 1988 - September 14, 1989
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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
OGILVIE SECURITY ADVISORS CORPORATION
CRD#: 10105 / SEC#: 801-44573, 8-26505
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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