RP
Robert J. Pulles
PRINCIPAL SECURITIES
Miami, FL 33126
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CRD#: 2250237
RP
Professional summary
Robert Jose Pulles, AIF®, CFP® is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Miami, Florida.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Robert has worked at 7 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 6 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.
**SOUTH FLORIDA GROUP BENEFITS. 03/2010-PRESENT. SALES. NOT INVESTMENT RELATED. **OUTSIDE INSURANCE. 04/01/2014. SELLING FIXED LIFE INSURANCE, DISABILITY, FIXED ANNUIITIES AND LONG TERM CARE INSURANCE THROUGH VARIOUS CARRIERS. **PULLES BROTHERS LLC POSITION: Registered Agent NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/11/2025 ADDRESS: 14525 SW 77 Ct, Palmetto Bay FL 33158, United States DESCRIPTION: My brother, Armando Pulles and I established LLC which will make an investment in a local private equity real estate fund.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Jose Pulles's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Jose Pulles's 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®
CFP®
Start date: 2001
Experience
Current
March 2, 2006 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 703 Waterford Way Ste 190, Miami, FL 33126RIA
BD
CRD#: 1137
Miami, FL
Current
February 16, 2006 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 703 Waterford Way Ste 190, Miami, FL 33126RIA
BD
CRD#: 1137
Miami, FL
Past
August 3, 2005 - February 28, 2006
FFP ADVISORY SERVICES INC
RIA
CRD#: 110778
CORAL GABLES, FL
Past
August 2, 2005 - February 28, 2006
FFP SECURITIES, INC.
BD
CRD#: 16337
CORAL GABLES, FL
Past
April 28, 2004 - August 10, 2005
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
CORAL GABLES, FL
Past
November 19, 2003 - August 10, 2005
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
April 3, 2003 - October 28, 2003
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
ATLANTA, GA
Past
February 21, 2003 - October 28, 2003
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
CORAL GABLES, FL
Past
July 9, 1993 - September 20, 2000
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
October 13, 1992 - September 20, 2000
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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
Alabama(3/3/2008)
RR
California(6/4/2009)
RR
Florida(2/16/2006)
IAR
Florida(3/2/2006)
RR
Georgia(3/1/2006)
RR
Illinois(3/26/2010)
RR
Massachusetts(2/20/2008)
RR
New Jersey(2/13/2008)
RR
North Carolina(5/12/2021)
RR
Texas(11/3/2020)
IAR
Texas(6/15/2021)
RR
Virginia(2/13/2008)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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
PRINCIPAL SECURITIES, INC.
CRD#: 1137Miami, FL 33126TRUST BUT VERIFY
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