AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JP

John M. Pulliam

PULLIAM FAMILY OFFICE | Financial Advisor
CRESTED BUTTE, CO 81224
Some features on this profile are disabled
CRD#: 2224237
JP

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.

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 John Michael Pulliam'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

April 2, 2026 - Present

PULLIAM FAMILY OFFICE, LLC

Office #1: 426 Belleview Ave Suite 104, Crested Butte, CO 81224
RIA
CRD#: 338839
CRESTED BUTTE, CO
Current

December 1, 2025 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901
BD
CRD#: 37157
SUMMIT, NJ
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.

BD
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.

BD
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

BD
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.

BD
CRD#: 7059
PLANO, TX
Past

June 4, 1992 - August 9, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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.
RR
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

RR
Arizona
(1/29/2026)
RR
California
(1/2/2026)
RR
Colorado
(1/21/2026)
IAR
Colorado
(4/2/2026)
RR
Maine
(1/22/2026)
RR
New Jersey
(1/21/2026)
RR
Oklahoma
(3/2/2026)
RR
Texas
(2/6/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/20/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/10/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 1/29/1996
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 4/6/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/6/2006
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 10/17/2006
General Securities Sales Supervisor - General Module Examination
SRO Registrations
RR
FINRA

Current Firm

PF
PULLIAM FAMILY OFFICE, LLC
PULLIAM FAMILY OFFICE, LLC

CRD#: 338839 / SEC#: 801-134600

RIA
Registered Investment Advisory firm - (12/8/2025 120-Day Approval)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
426 Belleview Ave., Ste 203, Crested Butte, CO 81224
Mailing Address
Phone number
(972) 947-9400
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A DISCLOSURE BROCHURE (9/19/2025)

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.

Company Information

PULLIAM FAMILY OFFICE, LLC

Financial AdvisorCRD#: 338839Crested Butte, CO 81224

TRUST BUT VERIFY

Monitor John Pulliam

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

Similar Advisors

LK
Larry KnisleyAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Portland, OR
TN
Teddy NgangaAdvisorCheck Check Mark
VANGUARD MARKETING CORPORATION
RR
SCOTTSDALE, AZ
Thomas Pineau-valencienne
Thomas Pineau-valencienneAdvisorCheck Check Mark
CHIMERA SECURITIES, LLC
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.