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JP

John M. Pulliam

THE LEADERS GROUP | Financial Advisor
SUMMIT, NJ 07901
Some features on this profile are disabled
CRD#: 2224237
JP

Professional summary

John Michael Pulliam is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

John is registered as a RR (Registered Representative) and started their career in finance in 1992. John has worked at 6 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"?
No

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) - BD

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

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.

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)
RR
Maine
(1/22/2026)
RR
New Jersey
(1/21/2026)
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

TL
THE LEADERS GROUP, INC.
SIMPLICITY INVESTMENTS | THE LEADERS GROUP, INC. | THE LEADERS GROUP

CRD#: 37157 / SEC#: , 8-47639

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
475 Springfield Ave, Summit, NJ 07901
Mailing Address
475 Springfield Ave Suite 1, Summit, NJ 07901
Phone number
(303) 797-9080
Established
Delaware since 07/14/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SIMPLICITY FINANCIAL MARKETING HOLDINGS, INC.SHAREHOLDER
PETERS, ROBERT WILLIAMFINOP1704577
RILEY, ZORAH JANECHIEF COMPLIANCE OFFICER3015509
WICKERSHAM, SEAN DAVIDPRESIDENT4994630

Disclosures

Regulatory Event4

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

THE LEADERS GROUP, INC.

Financial AdvisorCRD#: 37157Summit, NJ 07901

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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