Harvey L. Pullen

FIRST COMMAND ADVISORY SERVICES

SILVER SPRING, MD

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CRD#: 2080913

Professional summary

Harvey Leroy Pullen is a registered financial advisor currently at FIRST COMMAND ADVISORY SERVICES located in Silver Spring, 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.

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 Harvey Leroy Pullen'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

December 15, 2015 - Present

FIRST COMMAND ADVISORY SERVICES

Office #2: 2288 Blue Water Blvd Suite 311, Odenton, MD 21113

RIA

CRD#: 281958

SILVER SPRING, MD

Current

August 20, 1990 - Present

FIRST COMMAND BROKERAGE SERVICES, INC.

Office #1: 2288 Blue Water Blvd Suite 311, Odenton, MD 21113

CRD#: 3641

Odenton, MD

Past

September 2, 2005 - December 15, 2015

FIRST COMMAND BROKERAGE SERVICES, INC.

RIA

CRD#: 3641

ROCKVILLE, MD

Past

October 18, 2004 - September 2, 2005

FIRST COMMAND BANK

RIA

CRD#: 128851

FORT WORTH, 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".

FIRST COMMAND ADVISORY SERVICES

CRD#: 281958 / SEC#: 801-56942

RIA

Registered Investment Advisory firm - (7/28/2005 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.

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

District of Columbia
(2/5/2002)

Florida
(6/1/2023)

Georgia
(8/31/2023)

Maryland
(10/3/2001)

IAR

Maryland
(12/15/2015)

South Carolina
(9/14/2015)

IAR

Texas
(12/15/2015)

Texas
(11/16/2017)

Virginia
(2/5/2002)

West Virginia
(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

State Security Law Exam

IAR

Series 65

Date: 10/21/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/21/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/16/1990

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 9/16/1999

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

FIRST COMMAND ADVISORY SERVICES

CRD#: 281958 / SEC#: 801-56942

RIA

Registered Investment Advisory firm - (7/28/2005 Approved)

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Contact information

Main Address

1 Firstcomm Plaza, Fort Worth, TX 76109

Mailing Address

Po Box 2387, Fort Worth, TX 76113-2387

Phone number

(817) 731-8621

Established

Firm type

Fiscal year end

# of Employees

1,787

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP PROGRAM BROCHURE (10/30/2024)

DESCRIPTION OF SERVICES (10/30/2024)

Regulatory assets under management

Total Number of Accounts	110,166
AUM (Assets Under Management)	$ 22,090,760,499

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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Firm Stability Insights

Harvey L. Pullen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harvey Leroy Pullen's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST COMMAND BROKERAGE SERVICES, INC.

FIRST COMMAND BROKERAGE SERVICES, INC.

FIRST COMMAND BANK

Primary Firm SEC Registration

FIRST COMMAND ADVISORY SERVICES

State Registrations and Notice Filings

Exams

Series 65

Date: 10/21/2011

Series 63

Date: 8/21/1990

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 6

Date: 8/16/1990

Series 26

Date: 9/16/1999

FINRA

Current Firm

FIRST COMMAND ADVISORY SERVICES

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST COMMAND ADVISORY SERVICES

TRUST BUT VERIFY

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