John Michael Pulliam
Professional Summary
John Michael Pulliam is a registered financial advisor currently at PULLIAM FAMILY OFFICE, LLC located in Crested Butte, Colorado and THE LEADERS GROUP, INC. located in Summit, New Jersey. John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. John has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 9 and Series 10 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
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
Website
xxxxxxxxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
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
34 years in the financial services industry
Current & Past Employments
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Current Firm
PULLIAM FAMILY OFFICE, LLC
Contact Information
Main Address
426 Belleview Ave. Suite 203, Crested Butte, CO 81224Mailing Address
Po Box 547, Cressted Butte, CO 81224Phone Number
(972) 947-9400# of Employees
3SEC notice filing (2 States and Territories)
Registered to provide investment advisory services in 2 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
215AUM (Assets Under Management)
$141,743,358Similar 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.
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Primary Firm SEC Registration
PULLIAM FAMILY OFFICE, LLC
State Registrations and Notice Filings
(1/29/2026)
(1/2/2026)
(1/21/2026)
(4/2/2026)
(1/22/2026)
(1/21/2026)
(3/2/2026)
(2/6/2026)
(5/20/2026)
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 9 — General Securities Sales Supervisor - Options Module Examination
Passed Nov 2006About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Oct 2006About the Series 10 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view John Michael Pulliam's CRS (Customer Relationship Summary).
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