James P. Aull

AULL & MONROE

MOBILE, AL 36608

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CRD#: 2245495

Professional summary

James Paul Aull, who also goes by Jim Aull, is a registered financial advisor currently at AULL & MONROE located in Mobile, Alabama.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. James has worked at 1 firm and has passed the Series 63 and Series 2 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Aull

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.

EAGLE MARKET MAKERS, INC 141 WEST JACKSON, STE 1201-A, CHICAGO, IL 60604; CLEARING MEMBER, CHICAGO BOARD OF TRADE; CHIEF FINANCIAL OFFICER, PRINCIPAL, FULL MEMBER CHICAGO BOARD OF TRADE (INACTIVE FLOOR TRADER/BROKER SINCE 1981), REGISTERED COMMODITY FLOOR BROKER (NFA), REGISTERED PRINCIPAL (NFA); OCT 1994 - PRESENT; APPROX. 20 HRS/MONTH; APPROX. 5 HRS DURING SECURITIES TRADING HOURS; DUTIES: STRATEGIC PLANNING, REVIEW OF DAILY MANAGEMENT'S PERFORMANCE ON A WEEKLY OR MONTHLY BASIS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Paul Aull'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

June 8, 1992 - Present

AULL & MONROE

Office #1: 3605 Springhill Business Pk Suite A, Mobile, AL 36608

RIA

CRD#: 104830

MOBILE, AL

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".

AULL & MONROE

AULL & MONROE | AULL & MONROE INVESTMENT MANAGEMENT CORP

CRD#: 104830 / SEC#: 801-35841

RIA

Registered Investment Advisory firm - (2/16/1990 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.

Highlighted states indicate IAR registrations

IAR

Alabama
(6/8/1992)

IAR

Texas
(5/18/2005)

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

Series 63

Date: 5/22/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 2

Date: 5/22/1992

Non-Member General Securities Examination

Current Firm

AULL & MONROE

AULL & MONROE | AULL & MONROE INVESTMENT MANAGEMENT CORP

CRD#: 104830 / SEC#: 801-35841

RIA

Registered Investment Advisory firm - (2/16/1990 Approved)

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Contact information

Main Address

3658 College Ln S, Mobile, AL 36608

Mailing Address

Phone number

(251) 342-3339

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AULL & MONROE ADV PART 2A BROCHURE (5/2/2025)

Regulatory assets under management

Total Number of Accounts	426
AUM (Assets Under Management)	$ 329,144,863

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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James P. Aull

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Paul Aull's CRS (Customer Relationship Summary).

Certified licenses

Experience

AULL & MONROE

Primary Firm SEC Registration

AULL & MONROE

State Registrations and Notice Filings

Exams

Series 63

Date: 5/22/1992

Series 2

Date: 5/22/1992

Current Firm

AULL & MONROE

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AULL & MONROE

TRUST BUT VERIFY

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