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SP

Steven J. Pully

3PE ADVISORS
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 2005217
SP

Professional summary

Steven John Pully is a registered financial professional currently at 3PE ADVISORS located in Dallas, Texas.

Steven is registered as a RR (Registered Representative) and started their career in finance in 1991. Steven has worked at 7 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven John Pully's 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

April 26, 2021 - Present

3PE ADVISORS

Office #1: 1910 Pacific Avenue, Suite 14183, Dallas, TX 75201
BD
CRD#: 290234
Dallas, TX
Past

January 11, 2018 - May 21, 2019

KLR GROUP, LLC

BD
CRD#: 165586
HOUSTON, TX
Past

April 6, 2016 - July 25, 2016

PARKMAN WHALING SECURITIES LLC

BD
CRD#: 145342
HOUSTON, TX
Past

September 9, 2015 - November 9, 2015

PARKMAN WHALING SECURITIES LLC

BD
CRD#: 145342
HOUSTON, TX
Past

January 8, 2001 - November 30, 2001

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

February 19, 1997 - May 17, 2000

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

November 20, 1995 - December 22, 1995

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

July 12, 1991 - January 17, 1995

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Texas
(4/26/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 4/12/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 9/21/2015
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 9/9/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/12/1998
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

3A
3PE ADVISORS
3P ENERGY ADVISORS LLC | SPEYSIDE ADVISORS, LLC | 3PE ADVISORS

CRD#: 290234 / SEC#: , 8-70023

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

Main Address
1910 Pacific Avenue, Ste 14183, Dallas, TX 75201
Mailing Address
1910 Pacific Avenue, Ste 14183, Dallas, TX 75201
Phone number
(972) 645-3250
Established
Texas since 05/12/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
3P ENERGY CAPITAL LLCMEMBER
KITCHENS, CHRISTINA VANESSACEO7632708
LATIMER, JAMES ROBERT IIICFO, FINOP4462115
TAYLOR, MICHAEL PEREZPRESIDENT, CCO4131002

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.

Company Information

3PE ADVISORS

CRD#: 290234Dallas, TX 75201

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