John M. Pulliam

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CRD#: 2224237

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John Michael Pulliam was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1992. John had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

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.

(1)Name of Business: Pulliam Family Office Financial Planning Address: 426 Belleview Ave, Crested Butte, CO, 81224, United States Activity Type: Support Company - Owner Position/Title: Officer - CEO Investment Related: No Start Date: 01/01/2021 Hours per month devoted to this business: 21-40 Hours per month devoted to this business during trading hours: 21-40 Description of duties: I will perform duties associated with roles of CEO, CFO, and COO. Additionally, I will be the advisor working with clients to perform financial planning activities using eMoney financial planning software. (2)Name of Business: Pulliam GP, LLC Address: 21527 Privada Avila, San Antonio, TX, 78257, United States Activity Type: Business Owner Position/Title: Officer - President, Officer - Secretary Investment Related: Yes Start Date: 02/22/2024 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: This business is the General Partner for B&L Pulliam Family Limited Partnership, LP. My role is largely contingent role. My father Barry Pulliam is majority owner and runs a significant real estate investment portfolio. My role is a support role until something happens to Barry Pulliam

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 16, 2019 - September 15, 2025

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

Crested Blutte, CO

Past

September 13, 2019 - September 13, 2019

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

Crested Blutte, CO

Past

September 13, 2019 - September 15, 2025

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

Crested Butte, CO

Past

November 29, 2011 - September 24, 2019

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

PLANO, TX

Past

November 29, 2011 - September 24, 2019

UBS FINANCIAL SERVICES INC.

CRD#: 8174

PLANO, TX

Past

May 12, 2006 - December 9, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PLANO, TX

Past

May 12, 2006 - December 9, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PLANO, TX

Past

March 8, 1994 - May 22, 2006

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

PLANO, TX

Past

March 8, 1994 - May 22, 2006

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

PLANO, TX

Past

June 4, 1992 - August 9, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 65

Date: 11/20/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/10/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/29/1996

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/6/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 11/6/2006

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 10/17/2006

General Securities Sales Supervisor - General Module Examination

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

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Contact information

Main Address

880 Carillon Parkway, Saint Petersburg, FL 33716

Mailing Address

Phone number

(727) 567-3020

Established

Firm type

Fiscal year end

# of Employees

6,727

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. WRAP BROCHURE (6/30/2025)

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. FIRM BROCHURE (6/30/2025)

Regulatory assets under management

Total Number of Accounts	1,030,208
AUM (Assets Under Management)	$ 344,868,106,925

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/12/2025	Cover Page	Report
08/21/2024	Cover Page	Report
09/27/2023	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

John M. Pulliam

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/20/1995

Series 63

Date: 4/10/1992

SIE

Date: 10/1/2018

Series 3

Date: 1/29/1996

Series 7

Date: 4/6/1992

Series 9

Date: 11/6/2006

Series 10

Date: 10/17/2006

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

TRUST BUT VERIFY

Contact information

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