Harvey Leroy Pullen
Professional Summary
Harvey Leroy Pullen is a registered financial advisor currently at FIRST COMMAND ADVISORY SERVICES located in Odenton, Maryland and FIRST COMMAND BROKERAGE SERVICES, INC. located in Odenton, Maryland. Harvey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Harvey has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Years of Experience
36 years in the financial services industry
Current & Past Employments
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Current Firm
FIRST COMMAND ADVISORY SERVICES
Contact Information
Main Address
1 Firstcomm Plaza, Fort Worth, TX 76109Mailing Address
Po Box 2387, Fort Worth, TX 76113-2387Phone Number
(817) 731-8621# of Employees
1,787SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
113,591AUM (Assets Under Management)
$24,429,418,155Similar Advisors
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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.
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Primary Firm SEC Registration
FIRST COMMAND ADVISORY SERVICES
State Registrations and Notice Filings
(2/5/2002)
(6/1/2023)
(8/31/2023)
(10/3/2001)
(12/15/2015)
(9/14/2015)
(12/15/2015)
(11/16/2017)
(2/5/2002)
(5/11/2023)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Aug 1990About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Sep 1999About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Harvey Leroy Pullen's CRS (Customer Relationship Summary).
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