Brian J. Fullerton

AVESTAR CAPITAL

NEW YORK, NY 10017

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CRD#: 2054485

Professional summary

Brian James Fullerton is a registered financial advisor currently at AVESTAR CAPITAL, LLC located in New York, New York.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Brian has worked at 6 firms and has passed the Series 63, Series 66, Series 57TO, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Brian James Fullerton'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

October 23, 2024 - Present

AVESTAR CAPITAL, LLC

Office #1: 400 Madison Avenue Floor 21, New York, NY 10017

RIA

CRD#: 287525

NEW YORK, NY

Past

December 3, 2015 - October 24, 2023

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

May 30, 2003 - December 20, 2006

MERRILL LYNCH INVESTMENT MANAGERS LP

RIA

CRD#: 105068

PLAINSBORO, NJ

Past

December 12, 2002 - January 10, 2007

FAM DISTRIBUTORS, INC.

CRD#: 4100

NEW YORK, NY

Past

March 21, 1996 - May 26, 1999

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

Past

January 28, 1994 - November 29, 1995

JPMSI

CRD#: 15733

NEW YORK, NY

Past

July 6, 1990 - February 14, 1991

JPMSI

CRD#: 15733

NEW YORK, NY

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".

AVESTAR CAPITAL, LLC

3A CAPITAL PARTNERS, LLC | PROJECT ELEPHANT | AVESTAR CAPITAL, LLC | 3ALPHA

CRD#: 287525 / SEC#: 801-110020

RIA

Registered Investment Advisory firm - (3/9/2017 Approved)

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.

Highlighted states indicate IAR registrations

IAR

New York
(10/23/2024)

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.

Exams

State Security Law Exam

Series 63

Date: 12/15/2015

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 5/2/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/3/2015

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 5/27/2015

National Commodity Futures Examination

Current Firm

AVESTAR CAPITAL, LLC

3A CAPITAL PARTNERS, LLC | PROJECT ELEPHANT | AVESTAR CAPITAL, LLC | 3ALPHA

CRD#: 287525 / SEC#: 801-110020

RIA

Registered Investment Advisory firm - (3/9/2017 Approved)

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Contact information

Main Address

400 Madison Avenue Floor 21, New York, NY 10017

Mailing Address

Phone number

(212) 706-4140

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AVESTAR CAPITAL & 3ALPHA ASSET MANAGEMENT COMBINED BROCHURE (4/17/2025)

Regulatory assets under management

Total Number of Accounts	194
AUM (Assets Under Management)	$ 1,531,369,044

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

Brian J. Fullerton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian James Fullerton's CRS (Customer Relationship Summary).

Certified licenses

Experience

GOLDMAN SACHS & CO. LLC

MERRILL LYNCH INVESTMENT MANAGERS LP

FAM DISTRIBUTORS, INC.

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

JPMSI

JPMSI

Primary Firm SEC Registration

AVESTAR CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/15/2015

Series 66

Date: 5/2/2003

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/3/2015

Series 3

Date: 5/27/2015

Current Firm

AVESTAR CAPITAL, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AVESTAR CAPITAL, LLC

TRUST BUT VERIFY

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